Personnel file policy

Secondary personnel files may also be maintained by colleges, departments, or other operating units, as may be necessary for functional efficiency The Senior Vice President for Academic Affairs, the Senior Vice President for Health Sciences and the Vice President for Human Resources shall each designate an official custodian of personnel records, who shall be assigned the responsibility for expediting compliance with the relevant provisions of this policy and Procedure.

See Policy and Procedures Faculty Regulations, Part 6 Information in an Employee's personnel file which relates to persons other than the subject employee shall be temporarily removed from the file before it is inspected by the employee, if the information 1 is classified as "private," "protected," or "controlled" within the meaning of the Utah Government Records Access and Management Act; 2 consists of personally identifiable information relating to the salary or compensation of a person other than the employee who is the subject of the personnel file; or 3 is prohibited from disclosure by or pursuant to state or federal law.

A request to inspect may be oral or written and shall describe generally the records or data in the personnel file which the individual wishes to examine.

The person seeking inspection shall, upon request, produce appropriate documents or other evidence of identity. Upon verifying the identity of the requesting person, the custodian of the files shall take appropriate steps to comply with the request with reasonable promptness. When immediate inspection is not feasible or appropriate, the custodian shall cause the personnel file to be assembled including any data maintained in electronically stored format and made available for examination by the individual 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 the custodian.

The inspection shall take place in the presence of the custodian or designee of the custodian of the personnel file. No changes or alterations may be made to any documents in the file, and no documents may be removed from the file.

A memorandum recording the request and the making of the inspection shall be inserted in the file by the custodian immediately after the inspection has been concluded. A request for copies of the personnel file, or any part thereof, must be in writing. Before the requested copies are prepared, the cost of copying shall be calculated by the custodian of the file pursuant to a schedule of charges established from time to time by the Vice President for Human Resources, and the requesting individual shall tender payment to the university cashier of the amount of the estimated cost of such copying.

Upon receiving evidence of payment of the estimated cost of copying, the custodian shall arrange to prepare copies in accordance with the request and make them available to the requesting individual with reasonable promptness.

The written request for copies shall be placed in the employee's personnel file, together with a memorandum recording the date and manner of the response to the request.

Challenge to Contents An employee of the university may at any time challenge any factual statement or entry of factual data in his or her personnel file upon the grounds that it is inaccurate, misleading, inappropriate, or otherwise in violation of individual rights, provided that a separate process of appeal has not been available to the employee under any other University policy or Procedure. The employee will need to initiate a new request for accommodation for their new position, if needed.

This file should not be transferred with the personnel file. Those files should continue to be retained in the former department. Paper files should be maintained for five years after termination in the last employing department. After five years they can be properly discarded with the exception of any ADA files within the medical file.

If the employee returns within five years of their termination date, the hiring department will be granted access to the previous ePersonnel file. Paper files should be requested by the hiring department from the last employing department and sent to the hiring department. Questions about these guidelines and best practices should be addressed to departmental human resources representatives or Employee and Labor Relations or elr-help uiowa. Performance review documentation is available in various locations.

For most employee groups, it is filed in the personnel file either paper or electronic. Grievance materials, including documents related to discrimination or sexual harassment complaints, should be maintained in a separate file, not within the personnel file. Application materials, including letters of recommendation supporting the staff member's original hire, should be held in the position recruitment file, not within the employee's personnel file.

The department may opt to include some documents, such as a resume or curriculum vitae, in the ePersonnel file also. The ADA requires this ADA related medical file must be kept separate in the medical file and apart from the location of other personnel files. Access is limited to the supervisor and HR representative involved in the implementation of workplace accommodations.

This is also the location for documentation regarding coaching or counseling of the employee or letters clarifying expectations. This file should serve as a supervisor resource when preparing for the annual performance evaluation discussion or other performance conversations with the employee.

The following documents, if included as an attachment on a transaction appointment, change of status are automatically inserted in the ePesonnel file via the transaction system:. Anyone who has access to the transaction system can upload documents to the ePersonnel file.

The documents must then be reviewed and approved by the human resources representative before they will appear in the ePersonnel file. The effective date is typically the date the document is inserted or the date of the document being attached. If a future date is used, the document will not be visible in the ePersonnel file until that future date. No, the document category and subcategories are different based on employee type. If the file name is descriptive and appropriate it is not necessary to use a document title.

Non-sensitive PII is publicly available and easily accessible information that can be gathered from a variety of sources e. Sensitive PII is information which, if lost, compromised, or disclosed without authorization, could result in substantial harm, embarrassment, inconvenience, or unfairness to an individual. Sensitive PII includes information such as unique identifiers, financial information, and medical information.

Sensitive PII should not be included in the personnel file. When adding documents to the personnel file, the following information must be redacted :. Additionally, when sending a personnel file to another UW System institution or a state agency, the personnel file must be reviewed and any sensitive PII redacted before the personnel file is shared.

Upon request of the hiring UW System institution, UW-Madison, or other state agency, UW System institutions must share a copy of the complete personnel file of any current or former UW System institution employee upon hire. The original personnel file must be maintained according to the applicable General Records Schedule.

If an employee disagrees with information contained in a personnel file, a correction or removal of the information may be mutually agreed upon. If such an agreement cannot be reached, the employee may submit a written statement explaining their position, which must be included in the personnel file.

Please reference Wis. Under the General Records Schedule — and under Wisconsin law — a UW System institution may not destroy any records that it generates or receives, including employment records, unless destruction of the record is consistent with the General Records Schedule.