Personnel File Policy
Authority: Business Affairs
Date Enacted or Revised: Revised April 2016; April 28, 2022
The purpose of this policy is to provide guidelines for storage and accessibility of official employee personnel files and employment and service-related documents maintained within these files.
Official personnel files are stored in a secure manner for each University employee. The Office of Human Resources and Student Employment maintains files for all employees pertaining to employment, benefits, retirement plans, insurance, credentials, and other related matters.
Public records information may be included in personnel files. Public records information is accessible by the public under applicable public records laws when a formal request is submitted in writing to the appropriate University official.
Personnel files include confidential documents such as information regarding insurance, retirement plans, drug testing, etc. Confidential file information is protected from public access; however, it is not necessarily protected from persons within the University or persons from other government entities who have a legitimate need to know based upon a legitimate governmental reason or when mandated for legal or court-ordered reasons with proper request and authorization.
Personnel files are maintained for each employee and contain the following information and other documentation as necessary:
- Public records;
- Private records (confidential records);
- Medical certifications or FMLA (confidential records);
- Insurance (confidential records);
- Retirement (confidential records);
- Workers compensation (confidential records);
- Drug testing (confidential records);
- I-9 form (confidential records);
- Evaluations (confidential records);
- Resumes/curricula vitae;
- Letters of appointment, tenure, and promotion;
- Transcripts; and
- Letters of recommendation for employment.
Supervisory or Departmental Files
Supervisory files are maintained in a secure manner in the office of an employee’s supervisor. Supervisory files should be maintained on all employees and may include job performance notes, job descriptions, pre-discipline or records of counsel (both verbal and written), performance evaluations, professional development, and letters of commendation or disciplinary personnel matters.
The department head is responsible for maintenance of departmental faculty and staff files and for formulating an office procedure in consultation with the dean/supervisor which stipulates what materials are placed in these files. At a minimum, the annual performance review and signed rating sheet along with supporting documentation must be maintained in the file. Faculty and staff members are allowed access to the supervisory file maintained in the department/supervisor and/or supervisor/dean’s office at any time. Any issues related to materials or documents in the supervisory file should be addressed at a supervisory level through the chain of command.
Employee Access to Personnel Files
An employee may examine their personnel files that are stored in the Office of Human Resources and Student Employment, during normal working hours, in the presence of a human resources and student employment designee.
Employees are notified prior to the release of information to an outside individual or agency unless the employee has previously signed an authorization to release the information in question.
This policy is distributed via the University Policies webpage.