Best Practices for

Maintaining Personnel Files

July 16, 2014

COMPLIANCE &

GUIDANCE

Personnel Files

Compliance & Guidance

Non-Represented Staff PPSM 80: Staff Personnel Records

UCR Local Procedure 80

Represented Staff Applicable bargaining unit contract

Records Retention Schedule Most Official Records (0004B4): Retain records for 5 years

after the end of the fiscal year in which the employee

separates from the University

Best Practices for Maintaining Personnel Files

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SECURITY &

CONFIDENTIALITY

Personnel Files

Security & Confidentiality

Security Maintain files in locked file cabinets

Ensure access to file cabinet keys is managed

securely

Confidentiality Only employees designated by the department head

should be allowed access

Ensure contents are not visible to others when

reviewing the file

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CONTENT

Personnel Files

Required File Content

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

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* Can be maintained in a central department file

Additional File Content

Honors and Awards received by the employee

Corrective Action/Disciplinary Actions

Copies of any performance-related documents to be

placed in the personnel file should also be provided

to the employee with a Proof of Service form

An Employee may request removal of corrective

action/disciplinary action after two years provided

there have been no similar incidents in that period of

time (see applicable contract/policy and consult with

Labor Relations for guidance)

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Prohibited File 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.

A separate medical file

should be used to store

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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Grievances

The Labor Relations office is the office of

record for formal grievances and related

materials.

Any department copies of formal grievances

and related records should be kept in a

separate file from the employee’s personnel

file.

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PERIODIC

REVIEWS

Personnel Files

Department Responsibility

The department is the office of record for staff

personnel files

Maintaining the completeness and the accuracy

of personnel files is critical

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

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Types of Personnel File 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

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 if the

department offers

compensatory time off (forms

may vary by bargaining unit)

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CONTENT

ORGANIZATION

Personnel Files

Subject Matter Organization

Advantages

Related documents are grouped

together

Easy to identify the history of

actions within each separate

category

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

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Chronological Organization

Advantages

Easy to maintain

Easy to identify the complete

employment history of the

individual

Disadvantages

Removal and replacement of file

contents require attention to

detail

Removal and replacement

results in more disruption of the

file’s contents if documents

spanning several years are

required

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ACCESS AND

RELEASE OF

RECORDS

Personnel Files

Intercampus Transfer & 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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Intercampus Transfer & Access (continued)

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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Intercampus Transfer & Access (continued)

The employee’s personnel records should be

transferred to the department to which the

individual transfers

Permanent restrictions, or accommodation

plans in place at the time of the transfer

should be transferred

Exceptions:

Time records shall be retained

Medical files shall be retained

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Employee File Access

An employee has the right to review his/her

own personnel file(s)

Upon request, an employee shall be provided

a copy of his/her own personnel records

The first copy is provided at no charge

Additional provisions may apply depending on

the bargaining unit. Check the applicable

contract for specifics

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