Policy Manual

(10/95; amended 3/02; 9/02; 12/05; 10/14; 9/15; 7/1/17)

Effective July 1, 2017, this policy has been revised. For the most current version without redlining, return to III-7.

1. General. Employing departments shall maintain a personnel file, and, when applicable, a separate medical file for each employee. Files are the property of the University, and information contained within shall be consistent with state and federal laws and regulations, and University policies, and applicable collective bargaining agreements.
2. File Content.
   1. Personnel File. Personnel files shall contain documents related to the employee's employment, e.g., resumes and/or application materials, appointment and employment offer documents, change of status and termination forms, performance appraisals, letters of recognition and/or commendation, and any disciplinary records.
   2. Medical File. Medical file contents are limited to documents related to the health conditions of the employee and/or employee's family member that have related or will relate to the employee's ability to work. Documents may include but are not limited to health concerns involving: Workers' Compensation; Family and Medical Leave Act; the Americans with Disabilities Act; employment accommodations; absence due to health, release to return to work; employee medical limitations; employment immunizations; and drug screen information when applicable under the commercial driver's license (CDL) drug-testing program.
3. File Storage and Access. Personnel and medical file information is presumed confidential to anyone but the employee except when information is needed for official University purposes, when the employee gives written authorization, or when the information is general directory information such as name, address, phone number, and position. An employee may request to review personnel and medical files, and copies will be made or access given at an agreeable time and place.
   1. Personnel Files. Files are to be stored and maintained confidentially, whether in hard copy or electronic format. Access is limited to appropriate supervisory and support personnel as required to perform work responsibilities. An employee may provide written authorization to release all or portions of the files.
   2. Medical Files. Files are to be stored and maintained confidentially, whether in hard copy or electronic format. Information shall be kept in a separate location, apart from other employment-related information. Access is limited to appropriate supervisory, support, and safety personnel as required to perform work responsibilities. An employee may provide written authorization to release all or portions of the files.
4. Storage Following Employment Separation.
   1. Personnel Files. Files shall transfer with the employee when the employee assumes a position in another University department. When employment terminates, the employing department shall maintain these files for five years from the date of termination.
   2. Medical Files. Files, except for ADA accommodation–related documents, shall transfer with the employee when the employee assumes a position in another University department. The current department shall send ADA accommodation–related documents to University Faculty and Staff Disability Services at the time of the employee's transfer within the University and/or upon final employment termination. Medical files except for ADA accommodation–related documents shall be maintained for five years from the date of termination in the last employing department.
      Documents related to positive test results, refusals to take a required alcohol and/or controlled substances test, and employee exposure to toxic substances may transfer with the employee, depending on the circumstances. Departments in possession of such documents are to contact University Employee and Labor Relations for instructions. Upon termination, documents are to be retained in the last employing department.

(See also https://hr.uiowa.edu/epersonnel-file.)