You're responsible for maintaining files for each employee in your department. This involves maintaining existing employee files, creating employee files for new hires, and retaining all former employees' files for appropriate retention period.
What to Include in Employee Files
The department employee file should include only items that are job related. After-hours behavior, criminal background records, personal finances, family background, club memberships, religious affiliations, union memberships, and political beliefs should never be kept in employee files. Items about employees' medical history need to be kept separately from the employee files—keep medical information in medical files with access limited to a need-to-know basis.
You must retain departmental employee files and departmental medical files for five years from the date of an employee’s separation from the university. Once the retention period has been met, the departmental employee files and medical files can be disposed using the proper procedure. For further information, see the Records Management Services Web site, or contact the Office of Accounting at 512-232-5647.
All of the individual records retained in the departmental employee file have a retention requirement equal to or less than the retention requirement of the employee file as a whole. Departments have the option to hold all of the contents of the departmental employee folder for the full retention period of five years after separation, or they may opt to dispose of the contents in accordance with the retention requirements of each individual document. If you do choose to manage some of the contents of the departmental employee file separately, you must establish a consistent practice. For example, if you decide to dispose of all performance evaluations when they have met their required retention of three years, you must apply that retention consistently for all evaluations for all employees in the department.
Requests to View Employee Records
The department may allow a current employee to view his or her employee record. However, former employees and other parties must request access through the Open Records process. If you receive a request for employee records, you should immediately forward it to the Office of the Vice President and Chief Financial Officer for handling.
Employee File Contents
The following table outlines what paper documents belong in employee files, and which documents should be kept in the HRS employee file, the departmental employee file, or both. . For information about records not listed here, see the Records Management Services website or contact the Human Resource Service Center.
|Document||Where to keep the Original||Where to keep the Copy|
|Online employment application||Retained Online||Department Employee File|
Student/Non-Benefits Eligible Employment application
Department Employee File
|Resume and related documents such as examples of work, letters of recommendation, etc.||Department Employee File|
|New employee documents such as offer of employment letter, acceptance letter, etc.||Department Employee File|
|Supporting documents related to appointments, promotions, reclassifications, etc.||Department Employee File|
|Electronic Employment Eligibility Verification (I-9)||Electronic I-9 System|
|Ethics Statement Receipt (if paper)||Department Employee File|
|Selective Service Eligibility and Verification Form (if paper)||Department Employee File|
|Background Check Request Form (if paper)||Department Employee File|
|Employee Compliance Guide Acknowledgement Form (if paper)||Department Employee File|
|Veteran Status Information (if paper)||Department Employee File|
|Employee Biographical Information (if paper)||Department Employee File|
|Telecommuting Agreement||Department Employee File|
|Transfer of leave/state service from other Texas state agency or university||HRS Employee File|
|Position/job description and performance expectations||Department Employee File|
|Insurance claim information||HRS Medical File|
|Insurance enrollment information||HRS Employee File|
|Retirement programs enrollment information||HRS Employee File|
|Outside Employment Form||Department Employee File|
|Personnel action forms||Departmental Employee File|
|Disciplinary or corrective actions, including records of performance counseling||Department Employee File|
|Letters of complaint and letters of compliment||Department Employee File|
|Performance evaluations||Department Employee File|
|Training records||Department Employee File|
|Health/medical documents (includes Sick Leave Pool application, Disability Claim Forms, Reasonable Accommodation documents, FMLA documents, WCI documents, etc.)||HRS Medical File|
|Grievances and responses||Department Employee File|
|Time cards and timesheets (if paper)||Department Employee File|
|Leave requests||Department Employee File|
|Doctor's notes to support absences due to health/medical situations||Department Medical File|
|Resignation or termination letter||Department Employee File|