Personnel Files

Scope

This document sets forth the Research Foundation's (RF's) requirements regarding the contents of an employee's personnel file. Also refer to the RF's
Records Management Policy and to Recordkeeping Requirements for Labor Condition Applications for further information.

Establishing an Employee's Personnel File

At each operating location, a personnel file must be established for each Foundation employee. The personnel file generally should contain personnel documents for an employee, including necessary personal and job-related information, in addition to any pre-employment records for the employee.

Required Documentation

The following table describes the documentation that is required to be retained in an employee's personnel file:

Topic

Documentation

Assignments

Employment application

Applicant’s resume

Written communication to applicant regarding Research Foundation employment

Letter of appointment

Employee Assignment Form

Changes

 

Oracle Information Change Form

Written notification memorandum and supporting documentation for an employee being demoted.

Performance Evaluation

Research Foundation of SUNY Individual Performance Program and Appraisal

Taxes

 

Employee's Withholding Allowance Certificate (IRS Form W-4), unless retained in a separate payroll file

Employee's Withholding Allowance Certificate (NYS Form IT-2104) or Certificate of Exemption from Withholding (NYS Form IT-2104-E), unless retained in a separate payroll file.

Insurance

Insurance Enrollment Form or Graduate Student Employee Health Plan Enrollment Form

Convictions

Notice of Drug Statute Conviction for an employee

Conflict of Interest

Copy of a written determination made regarding a violation of the Conflict of Interest Policy

Terminations

Written notice given by employee who is resigning; written notice given by an employee who is retiring

Signed letter by an employee acknowledging receipt of written notification letter informing employee of his or her exact date of termination and the exact date of cancellation of group health insurance benefits; or certified mail receipt from notification letter

Written notification memorandum to an employee being terminated from employment for cause; supporting documentation for an employee being terminated from employment for cause

Requests for Information

Copy of a written governmental request for information regarding an employee and response

Copy of a written nongovernmental request for information regarding an employee and the employee's written authorization and response

Required Documentation for Minors

An unexpired employment certification or vacation work permit must be included in personnel files for all minors employed by the Research Foundation.

Optional Documentation

Documentation Not Kept in Personnel File

The following documents must be retained separately from the employee's personnel file in a secure locked
file drawer:

Change History

 

 

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