Record Copy

Overview
What to keep in a personnel file
 What to file separately
 Who can access personnel files
 What maintenance procedures to follow
 What UGA record policies to know

Personnel File
Defined
Personnel files are records
maintained in paper form, scanned,
or stored electronically.
Security and retention requirements
are the same for all formats.
Is there a federal or state requirement that an
employer maintain personnel files as such?
A. Yes
B. No
C. Not sure
Is there a federal or state requirement that an
employer maintain personnel files as such?
A. Yes
B. No
C. Not sure
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Is there a federal or state requirement that an
employer maintain personnel files as such ?
B. No -- “Liability Issues” really drive record
maintenance procedures.
More Information
http://eits.uga.edu/access_and_security/infosec
/id_theft
 On average: victims of Identity Theft & Fraud

175 hrs. research & tracking crime
 23 months correcting credit reports
 $800 out of pocket expenses to restore their
financial standing

WHY Have Reviews ?
Reduce the number of lawsuits & penalties regarding
violations of laws relevant to:
 Medical privacy,
 Nondiscrimination
 I-9’s, identity theft
 Record retention
 Record destruction
Standard Categories of Records
What File is not a “Standard”?
A. Personnel Files
B. Medical/Confidential Files
C. Disgruntle Employee Files
D. Payroll Files
E. FMLA Files
What File is not a “Standard”?
C.
D.
E.
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Personnel Files
Medical/Confidential Files
Disgruntle Employee Files
Payroll Files
FMLA Files
M
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A.
What File is not a “Standard”?
Answer: Disgruntle Employees
What to Keep in Personnel Files
Employment application and resume
 College transcripts
 Job descriptions
 Hiring, promotion, demotion,
transfer, layoff, rates of pay, education,
training records, or other forms of
compensation

What to Keep in Personnel Files ?
Letters of recognition
 Disciplinary notices or documents
 Performance Evaluations
 Test documents used to make an
employment decision
 Exit Interviews
 Termination Records

What not to Keep in Separate File ?
HIPAA Privacy, HIPAA Security
 Immigration (1-9)
 ADA
 FMLA
 Sexual Harassment Training acknowledgment
 Worker Compensation
What not to Keep in Separate File ?
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HIPAA Privacy,
HIPAA Security
Immigration (1-9)
ADA
FMLA
Sexual Harassment
Training
Worker Compensation
HI
PA
A.
Answer: Sexual Harassment Training Acknowledgment

Others to consider for separate:
Investigation notes and reports
 Nondiscrimination
 Drug test or background check results
 Payroll records containing SSNs or other protected
information including W-4s and garnishments
 Medical or confidential records, including anything that
has protected information such as date of birth, marital
status, religious beliefs, etc, including benefit enrollment
forms for current year; beneficiary forms.

Who Can Access Personnel Files?
Where?
When?
How often?
What circumstances?
Who Can’t Access Unit Files ?
A.
B.
C.
D.
E.
Employee
Parents
Supervisors
Human Resources
Government/Legal Agencies
WhoQuestion
Can’t Access
Enter
Text Unit Files ?
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Employee
Parents
Supervisors
Human Resources
Government/Legal Agencies
Em
A.

Answer: Parents
Access to Open Records
 Requests
begin with UGA Open
Records and are sent to the units
Access to Medical/Confidential Files
Human Resources
 Supervisors
 Government/Legal Agencies

Access to Payroll Files
Payroll
 Human Resources
 Auditing/Investigating Agencies

Identity Theft
Security and maintenance of
employment records is imperative to
avoid company liability if these
records are accessed and used for
identity theft purposes.
Review Records
Audit employment records
 Remove or correct irrelevant, outdated,
misleading, or inaccurate information

Storage guidelines  Personnel
– 7 years
 Medical/Benefits – 6 years
 I-9 Forms – no more than 3 years after
termination
 Pre-employment Background Checks – 2
years
http://www.usg.edu/usgweb/busserv
What do I keep at my unit?
Usually the standards will specify how
long the record needs to be kept with
the unit. If it doesn't, then that usually
means that the unit can get rid of their
copy of the records as soon as it is no
longer useful.
M1: Purchase Request Records
Explanation: This series documents the purchase
of supplies and services by the institution.
Record Copy: Business Services, Units
Retention: 5 years
Citation or Reference: O.C.G.A. 11-2-725
Background Information: Previously Located in
Series: A53, Category: Administration
M2: Annual Fiscal Reports
Explanation: This series documents annual fiscal
year-end status of accounts and is used to
provide the office with summary information
relating to its programs which may be used for
planning or review.
Record Copy: Business Office
Retention: 5 years or two successive audits,
whichever is longer
Background Information: Previously Located in
Series: A69, Category: Administration
General Recommendations
 Investigate
Federal Requirements
 Investigate applicable individual state
requirements
 Ask questions of UGA Resources: Legal
Affairs; EEO department; EITOS; UGA
HR;
General Recommendations
 When
the same or similar records are
required by more than one law, but the
period of retention varies, retain the
information for the longer period of time
General Recommendations
 Follow
policies regulating employee’s
access to their personnel files
 Establish
a system for auditing your units
record keeping (including personnel files)
General Recommendations
 With
a discrimination charge or lawsuit,
all relevant records must be kept until
final disposition