Officer of Administration (OA) Personnel Files

The employee personnel file is the main employee file that contains history of the employment relationship.  Some of the documents listed below may be maintained in university databases, like MyTrack, that are accessible to supervisors and the employee. Please note that at this time, this guidance is advisory and is intended to provide a framework for maintaining your files.

No employee file is confidential.

When making notes, describe the facts and don’t write anything you wouldn’t want seen in public or said to the employee. Avoid assigning intent, motivation or placing judgment.

What should be included in the unit-level Personnel File?

  • Orientation checklists/documentation
  • Resume/Vita
  • Position description
  • Offer letters
  • Performance reviews
  • Awards and other recognition (Notes/emails of praise or concern)
  • Letters of clarification
  • Information related to discipline
  • Resignation letters
  • Notice of layoff
  • Employee agreements, such as
  • Appointment letters
  • Job rotation agreements
  • Performance improvement plans
  • Employee’s written explanation or response regarding information contained in the file that the employee believes to be incorrect or a misrepresentation of facts:
    • Approved leave without pay (not medical)
    • Documentation of changes in pay/salary band
    • Work schedule agreements/remote work agreements
    • Time sheets (for non-exempt OAs)

Tips related to personnel files

  • Identify an appropriate employee to provide proper oversight of personnel files.
  • Create a unit-wide system to ensure the information contained within is current and appropriate for inclusion in the file.
  • Ensure that the system allows for easy access and quick turn-around time when the unit receives a request to review a personnel file.

Examples of what should NOT be included in a personnel file?

  • Medical Records/Information
    Maintained by HR Medical Leaves Coordinator
  • Workers Compensation Documents
    Maintained in Safety and Risk Services
  • Grievances/grievance documentation or Investigation information Maintained by Employee and Labor Relations
  • EEO Self-ID forms
    Maintained in Payroll
  • Employment Eligibility Forms (I-9)
    Maintained in Payroll
  • Social security number
  • Responses to employee voluntary self-identification questionnaire (including protected class information, gender identification, and sexual orientation)
    Maintained in HR
  • Post-offer physical/functional testing (including drug testing)
    Maintained in HR
  • Post-offer background checks (including criminal history, credit, sex offender registry,
    Maintained in HR
  • Search/Hiring records not noted above in personnel file list
    Maintained in MyTrack and/or unit-level search file

Access, Maintenance, and Retention

Electronic records are the same as paper records in terms of Records Management Programs procedures.