Questions and answers about staff employee personnel files
Here is some information about the basics of creating, keeping, and
sharing the contents of employee personnel files. A list of what should
and should not be in personnel files is located at http://hrweb.berkeley.edu/tools/persfile.htm.
These are some of the most frequent questions about personnel files,
but each employee record may raise new or different issues. The personnel
file may be the most tangible and complete record of each employee's
accomplishments and contributions to the University. It should be
treated with the respect due to the individual it represents. Maintaining
a personnel file with accurate, timely, and relevant information and
establishing mechanisms to ensure security and confidentiality will
safeguard the privacy of employees and their relationship to the University.
1. What is a personnel file?
A historical log or record of information pertaining to a staff employee
from the date of hire, identified by the person's name or by any number
or symbol corresponding to that name.
It is not necessarily just a folder of documents. Anything that can
be reasonably retrieved regarding a person's employment may be considered
a part of the employee's record. This may include calendar notations,
e-mail and other on-line documents, work logs, or journals.
2. What belongs in the personnel file?
Job-related materials including information on employment, such as
the employee's application, offer letter, and acceptance letter; the
job description and performance expectations; development records
such as training, education, and degrees; performance records such
as appraisals, counseling memos, disciplinary letters, special awards,
or commendation letters; time and attendance records; emergency data;
and personnel action forms (PAFs).
3. What does not belong in the personnel file?
Anything not directly related to the job, such as pre-employment references,
grievances, outside agency complaints, affirmative action/EEO data,
credit reports, or wage garnishments.
Grievances and other formal complaints - internal or external - are
administrative processes for which the office of record is Labor Relations
in Human Resources, so they should not be in the personnel file. If
the complaint involves a dispute about the content of an employee's
personnel file, that content may be affected by the decisions issued
in the complaint process or by resolution of the complaint. For example,
the content or ratings of a performance appraisal may be changed or
a disciplinary letter removed.
4. What about medical slips, FMLA documents, and Workers'
Compensation reports?
To protect the privacy of the employee, any documents that relate
to an injury or disability must be kept in a file separate from the
rest of the personnel documents. They may be kept inside or adjacent
to the personnel file, but should be separate and easy to remove if
the file is requested for review. (Check with your Employee Relations
Specialist or Vocational Rehabilitation Counselor if you have any
questions about medical records.)
5. Where is the personnel file located?
Normally in the department personnel or human resources office or
in the supervisor's office. All personnel files should be maintained
in a secure setting to ensure that access is limited. Employees should
not have custody of their own personnel files.
Some supervisors express a desire to keep a working file for each of their employees, which may include work samples, notes about discussions with employees, or feedback from customers. They cite reasons such as not being the custodian of the official department personnel file or being at a remote location. They want memory joggers so that discussions with an employee, or the annual performance review, will be as specific and objective as possible.
A working file is not prohibited, but there are a few things to keep in mind:
- It's not a secret record and it's entirely appropriate for employees to know the working files exist. (They may also want to put memory joggers there.)
- It should be used for its stated purpose, with material being incorporated into appraisals or other formal documents in a timely manner.
- Any request to review the personnel file, or for copies of records, may include the working file as well as the official file. All these items are part of the employee's official record.
- Once the material is used in another document such as a performance appraisal or corrective action, the notes should be destroyed. If they are not ultimately used, they should be destroyed.
Usually the supervisor will determine what documents will be placed in the file. The supervisor should have a conversation with the employee before placing a document in the file, and should give a copy to the employee.
When an employee transfers, the file should move to the new campus department. The old department should retain records of attendance and time worked and forward copies of those records with the rest of the file. Some departments keep a copy of the entire file, which can be useful if they are contacted directly for reference requests or copies of records.
7. Who can review the file?
The employee or the employee's designated representative,
the employee's supervisor or department head, a prospective hiring
department, Employee Relations or Labor Relations staff, and other
UC officials with a job-related need for information.
Access may be guided by personnel policies or union contract provisions. Guidelines based on federal and state law are discussed in the University's Business and Finance Bulletins.
8. Will there be requests to review materials related to
an injury or illness?
Octagon Risk Services, the University's third party administrator
for Workers' Compensation, will occasionally request a copy of the
entire file (except PAFs) to administer a claim. The supervisor will
usually receive a call from a Vocational Rehabilitation Counselor,
who will review the file and send it to PRM.
9. When can employees review their files?
Normally no longer than 30 days after making a request to
the supervisor, and sooner if reasonable. The employee may also designate,
in writing, a representative to review the file. All such reviews
should occur in the presence of the supervisor or another department
representative such as the Department Personnel Manager. Specific
personnel policy or union contract guidelines may apply.
When an employee requests a copy of the file, a note should be included in the file stating what was provided, since the first copy of any document is free of charge. Such requests may be very specific, including computer records or the supervisor's working file. Copies of what exists at the time the request is made should be provided "as is." The file should not be purged before compliance with the request. (See Question 4 regarding medical information; employees and their representatives may see medical information, but others should not.)
10. How long should records be maintained?
The University of California Records Disposition Schedules
Manual outlines retention periods for most personnel records. (Go
to http://www.ucop.edu/recordsretention/
and select Payroll/Personnel/Benefits from the drop-down menu labeled
"Function.") Personnel policies and union contracts provide
guidelines for retention of corrective or disciplinary actions. For
example, retention is two years for most corrective or disciplinary
actions, unless there is a same or similar infraction.
11. How should departments handle subpoenas?
In most cases a subpoena should be sent to Nelcy Dwight in
OHR-Central , who is responsible for responding on behalf of the campus.
If a subpoena or other records request is received in the context
of a formal complaint process, it should be directed to the Labor
Relations Specialist in Human Resources assigned to the case.
Have more questions?
Please call your Employee Relations Specialist, or the Employee Relations
Customer Service Line at 642-7163. You may also email us at askeru@uclink.