4.15 - Personnel Files Policy

: Human Resources
: President
: 09/20/2018
: 09/20/2018
: 09/20/2019
Comment on Policy

4.15.1 - AUDIENCE

All University employees.


The purpose of this Policy is to provide guidance to University employees about their privileges and obligations with respect to their individual personnel files, and guides applicable employees responsible for producing and maintaining personnel files in the appropriate management of those records.


Not applicable

4.15.4 - THE POLICY

Personnel files are the property of the University and access to such information is restricted.  The University reserves the right to adopt reasonable rules concerning the frequency of file inspections to prevent potential abuses.  Generally, only supervisors and management personnel who have a legitimate reason to review information in a file are allowed to do so.  Employees who wish to review their own file should contact Human Resources.  They may be permitted, at the sole discretion of the Human Resources Director, to review the file in the presence of the Human Resources Director.  Upon receipt of an employee’s request to review the file, Human Resources will determine whether to grant the request.  If the request is granted, Human Resources will cause the personnel file to be assembled (including any data maintained in electronically stored format) and made available for examination by the employee as soon as feasible, ordinarily not to exceed 10 working days after the request, at a reasonable place and time (during regular business hours) to be designated by Human Resources.  The employee shall be provided a reasonable time to review the file.

The file may not be removed from the office housing the records, even temporarily.  Employees will be responsible for paying the reasonable expenses incurred in copying their files.  Former employees are not permitted access to their personnel file once employment is terminated.


Americans with Disabilities Act
Family and Medical Leave Act
The Health Insurance Portability and Accountability Act of 1996

Record Retention Policy


I. Confidentiality

To ensure confidentiality of personnel information, access to an employee’s personnel records is restricted to authorized administrators and supervisors.  An employee’s medical and benefits records file is maintained separately from the personnel file in accordance with the Americans with Disabilities Act, as well as Family and Medical Leave Act and The Health Insurance Portability and Accountability Act of 1996.  Access to an employee’s medical file and any medical-related information is restricted to the Director of Human Resources or his or her designee.  Supervisors generally may not be provided with medical information about employees.  A supervisor is entitled to know any necessary restrictions on an employee’s duties and information necessary to make reasonable accommodations.

II. Location and Maintenance of Personnel Files

Only one official personnel file shall be maintained by the University and is to be kept in Human Resources.  The University recognizes however, that it may be necessary for a supervisor to keep records concerning employee performance, which, because of an ongoing need for access and updating, cannot be solely maintained with the remainder of the employee’s personnel file.  Items contained in those informal files are transitory in nature and are not part of the employee’s personnel file unless merged into formal actions contained therein.

III. Other Files

Human Resources shall maintain a separate and confidential medical and benefits file for every employee.  The Human Resources Office will maintain payroll records.

IV. Release of Information

Information housed in the personnel and medical and benefit records files are confidential and will not be released to persons outside the University except as required by law. No other information will be provided.

V. Verification of Employment

Human Resources will verify whether the University currently employs or has employed the employee.  In response to written requests, the University will provide dates of employment and job titles.

VI. Employee Change of Status

It is the responsibility of each employee to inform the University of any changes in personal information (name, address, marital status, birth of a child, adoption of a child, death of a spouse or child, increase or decrease in number of dependents etc.) by completing the appropriate form(s) as the changes occur.  In addition, employees should notify Human Resources of any banking changes that impact the direct deposit of employee pay.

VII. Retention and Disposal

Personnel files will be retained and disposed of in accordance with the University’s Record Retention and Disposal Policy and Retention Schedule.  Personnel records which have been retained beyond the stipulated retention period will be disposed of in accordance with the retention schedule as early as practicable.


4.15.8 - HISTORY

This is a new policy, replacing language from the Staff Manual (May 2014) and Faculty Policy Manual (2011).

4.15.9 - APPENDIX

There are no appendices to this Policy.

4.15.10 - APPROVALS

Laura Custer, Director of Human Resources

Dr. Kathleen Jagger, Acting President