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Policy No: 1108
Effective Date: DRAFT
Revised Date:
Reviewed Date:

Personnel Files Policy

Purpose

1.1 This policy is written to clarify general best practices about the contents of an employee personnel file, allowing employee access to the personnel file, and keeping other employee information separate from the personnel file. With the evolution of the paper to electronic files, the paper employee personnel file has changed. This policy recognizes that records containing employee information may be kept in electronic or paper form and may be maintained in several different electronic systems and physical locations. All employee personnel files shall be secured in strict conformance with federal and state(s) laws and the Bylaws of the Board of Regents of the University of Nebraska governing the confidentiality of information. Employment records will be kept according to the Employment Record Retention Schedule for the University of Nebraska.

Scope

2.1 The Personnel Files Policy is applicable to all employees for their personnel files kept in electronic or paper form.

Basis of the Policy

3.1 Federal and state(s) laws and the Bylaws of the Board of Regents of the University of Nebraska governing the confidentiality of information are the basis of the Personnel Files Policy.

Authorities and Administration

4.1 The UNMC Human Resources’ Division Director of Strategic Staffing, Compensation, Records and HRIT is responsible for the administration, implementation, and maintenance of the Personnel Files Policy at the campus level in consultation with the Assistant Vice Chancellor for Business and Finance Executive Director of Human Resources and the Vice Chancellor for Business and Finance.

Policy

5.1 Employees may view their records in the Human Resources – Records office at any time during regular working hours upon appropriate advance notice to Human Resources. The employee must present a staff identification card before access to records will be granted.
5.2 Contents of the individual employee files vary and the records may be maintained in electronic or paper form in several different sources. A typical personnel file may include some or all of the following:

a. Application

b. Letters of offer and acceptance of employment

c. Job descriptions

d. Personnel action forms and personnel data forms

e. Performance evaluations

f. Performance counseling forms, forms showing corrective action

g. Letters of commendation

h. Outside employment authorization form

5.3 Reports, letter, and documents which reflect unfavorably on an employee shall not be placed in the personnel file without his or her knowledge. Records of disciplinary action shall be maintained in the personnel file for a specified period, according to the University's Record Retention Schedule.
5.4 Information which reflects unfavorably, except information originated by the employee, shall not be placed in an employee’s file subsequent to discharge, resignation, or retirement of such employee, unless a copy of such employee is mailed to the employee, within 30 calendar days, at the last known address of the employee.
5.5 The following documents should not be included in the personnel file and instead should be kept in a separate file. Such documents should be accessible by Human Resources:

a. EEO/invitation to self-identify disability or veteran status records

b. Reference checks

c. Background checks

d. Drug Test Results

e. Employment Eligibility Verification forms (Form I-9)

f. E-Verify forms

g. Medical Records (medical questionnaires, doctors notes, leave of absence records, etc.)

h. ADA accommodation records

I. FMLA – related documents

j. Crisis Leave authorization

k. Garnishments

l. Injury Report & Workers’ compensation claims

m. Requests for employment/payroll verification/loan verification requests

n. Immigration processing paperwork

o. Recruitment file documents:

i. Interview notes and employment test results

ii. Advertisements

iii. Job Descriptions

iv. Non Select Rationale

Notice of Non-Discrimination

Please see UNMC's Notice of Non-Discrimination regarding the University of Nebraska Medical Center's commitment to creating a diverse and inclusive working and learning environment free from discrimination and harassment.

Additional Information

• Human Resources – Staffing/Compensation/Records/IT, 402-559-2710
• Bylaws of the Board of Regents of the University of Nebraska
• University of Nebraska Record Retention Schedule

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