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  • Manager’s Working Files: AR-5020-A

  • Section 5000: Personnel
    Manager’s Working Files
    Administrative Regulation: AR-5020-A
         		President’s Cabinet (PC) Approval: 3/14/06
    Revised: 5/18/07
    12/14/07
    9/22/00
    Managers may maintain employment-related working files on each of their employees, which may include work samples, notes about discussions with employees, or feedback from other individuals. This may include calendar notations, e-mail and other on-line documents, work logs, or journals. Only employment-related information should be included in the manager’s working files.
    1. Manager’s Working Files
      Information which may be maintained in such files includes:
      1. Documentation regarding employees' work performance or performance evaluation, with material being incorporated into appraisals or other formal documents in a timely manner. 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 in the performance evaluation or corrective action, they should be destroyed. .
      2. Documentation of coaching sessions with employees on such things as performance or behavior problems or department policies and procedures.
      3. Interim performance evaluations.
      4. Copies of performance evaluations.
      5. Copies of disciplinary actions
      6. Copies of written notices, including memos of expectations.
      7. Letters or memoranda from other sources regarding employees' job performance such as letters of commendation or complaint.
      8. Attendance records.
      9. Copies of training certificates and/or other training records
      10. Copies of position descriptions.
      11. Credentials and licenses.
      12. Student evaluations and letters of commendation
    2. Other Employment Related Records
      1. What does not belong in the employee personnel file and the managers’ working files?
        The following items do not go in the employee’s personnel file or managers’ working files and are kept in separate secured files in Human Resources. They are considered part of the file to which the employee has access for viewing, unless noted otherwise as “confidential.”
      2. Request for Verification of Employment (i.e., bank, other employer)
      3. Employment Eligibility Verification (I-9 form)
      4. Recruitment and selection records, including documents from the pre-employment process such as letters of references for employment, employment background check material
      5. Payroll related information, including W-4, withholdings, wage garnishments
      6. Benefit related information and forms, including enrollment and beneficiary designation forms
      7. Workers' Compensation Forms: Injury Reports, Status Reports
      8. Medical health records and disability information kept in a confidential file
      9. Unemployment claims
      10. Affirmative action/EEO data
      11. Discrimination complaint case files
      12. Grievance records (exception FT and PT Faculty – see CBA language)
      13. Records of arrests, convictions, investigations, or security clearance information
      14. Exit interviews
      15. Memo/info regarding lawsuits

        Note: Exceptions to the above may be made to be in compliance with grantor’s requirements.

    3. Employee Personnel Files
      Personnel records are confidential in nature and therefore, access to the information in them is to be limited in accordance to collective bargaining agreements (CBA), personnel policies, employee handbooks, subpoenas and related statutes