This outline was developed from the State Retention Schedule; and shows the various elements that shall be contained in the University of Connecticut Personnel Files.
Official Content Examples* (Classified/Unclassified/GA’s)
Interagency Transfer Form
Personnel Action Form
Payroll Authorization
(Note: As of 9/16/2016 these are electronically retained)
Appointment/Offer letter
(Note: As of 7/16/2016 these are electronically retained)
Confirmation Letter
(Note: As of 7/1/2013 these are electronically retained)
Performance Evaluation
Performance Evaluation Rebuttal
Merit Award Letter
Increase Letter
Reclassification Letter
Compensation & Classification Analysis Summary Sheet
Equity adjustment letter
(Note: As of 9/16/2016 these are electronically retained)
Temporary Salary Increase Letter (TSI)
(Note: As of 9/16/2016 these are electronically retained)
Temporary Service in a Higher Class (for Classified Employees; TSHC, TSHCU) Document
(Note: As of 9/16/2016 these are electronically retained)
Stipulated agreement (as deemed appropriate by OFSLR)
Service Time Form / Longevity, Seniority Service Form
Roster Card (Employee History Card)
Vacation Accrual Rate Increase Letter
Separation Form (or Employee Termination & Routing Slip)
Resignation Letter
Final Result of Service Audit
Disciplinary Records-Resulting in Further Action (e.g., letters of warning, letters of reprimand, notices of disciplinary suspension or demotion, termination / dismissal letters, or litigation)
Criminal Background Check Consent Form & Result
(Note: As of 2014, these are electronically retained in HR)
Employee PTR final result and/or Letter
(Note: Complete PTR file resides electronically)
Tenure adjustment letter
License or Certificate required at time of hire for employment
Applicant material (application/resume, etc.) for Hired employees
(Note: As of July 2013, these are electronically retained in HR)
Leave Approval
(Note: As of 9/16/2016 these are electronically retained)
Dual Employment Form
Flexible Schedule Arrangements
Acknowledgment of Receipt Forms / Letters
New Employee Form; employee contact information, degree and emergency contact
(Note: Electronically retained)
Optional Content Examples**
Certificates
Letters of Accolades/Commendation
If additional contents are deemed electronically viable or allowable, those options will be explored, identified, and documented.
* NO anonymous materials are allowed in the Personnel File
** Employees may request materials be approved to be placed in their file
Request a Copy of Personnel File
Q: Should Resignation letters be included in Personnel Files?
A: Yes- these are optional.
Q: Should Annual Reports for Faculty be placed in Personnel Files?
A: No- these should reside in the Supervisory file.
Q: Should the Merit exercise be placed in the Personnel File with the Merit Award Letter?
A: No- these should reside in the Supervisory file.
Q: Should Compensatory Time Approval Request Forms be placed in the Personnel Files?
A: No- these documents either (a) should reside in the departmental/supervisory file once Payroll has processed, and/or (b) As of 9/16/2016, Comp time requests and approvals are available electronically in the CORE-CT system, Leave and Time Approval Module.
Q: Is the PTR Final Letter from the Board of Trustees what belongs in the Personnel File or should the letters received by Faculty each year be kept as well?
A: The letters that are received each year by Faculty are their Reappointment letters. These are considered part of the Official Personnel Files.
Q: Should license and immunization/shot records that are required for employment be retained in the Personnel Files (e.g. School of Nursing)?
A: No- these documents should reside in the departmental file for auditing purposes and maintained until superseded.
Q: Should Special Payroll Offer Letters be placed in the Personnel File?
A: If a Special Payroll letter is for a TSHCU appointment for a classified employee performing temporary unclassified duties, then the letter should be sent to HR for the Personnel file. All other Special Payroll materials are maintained by the Payroll Department.
(Note: As of 9/16/2016, many Special Payroll records are electronically stored in the CORE-CT system, in the Smart HR module.
Questions should be directed to Melody.Williamson@uconn.edu; 860-486-8056.