Department Personnel Files

Duke University Human Resources Records

The following items are kept centrally in the Corporate or Entity Human Resource File. Records and forms of hire, transfer, pay increase, etc. are kept electronically.

• U.S Employment eligibility verification I-9/E-Verify (electronic)
• Tax forms (Federal W-4, NC-4) (electronic)
• Basic life insurance beneficiary form (paper and electronic)
• Court record release (electronic)
• Candidate certification (electronic)
• EEO/Veteran status (on-line)

A staff member is entitled to inspect a copy of his or her own Duke personnel file. Duke personnel files may only be examined within the confines of the Office of Human Resources by appointment during normal work hours.

Department Personnel File

The following items may be included in the department personnel file. It is kept locally and does not need to include information collected in the Duke Human Resource File.

• Job application and/or resume
• Offer of employment
• Signed acknowledgment of Duke staff handbook
• Performance evaluations (on-line, Duke@Work)
• Awards or letters of recognition for excellent performance
• Documented performance and/or behavioral issues, discussions, expectations for improvement
• Emergency contact information
• Attendance information (on-line, Duke@Work, API)
• Disciplinary actions
• Training records
• Orientation checklists
• Confidentiality agreements and conflict of interest forms (on-line)

Files should be sent to new departments in the event of an internal transfer. In general, keep records in this file a minimum of three - four years after termination.

Medical information, medical results, drug screens, worker’s compensation examinations, and diagnostic tests related to the job are kept by Duke Employee Occupational Health and Wellness and should not be kept by the department. Other physician notes related to the job such as attendance or FMLA should be kept in a separate, confidential medical file.

Social Security, Driver’s License, and Passport numbers (or document copies) should not be kept in department files. These are kept by HR and/or Payroll as necessary.

Recruitment Materials: records and materials associated with potential candidates such as interview questions, interview notes, justification for selection/non-selection of candidates, and reference letters should be kept in a separate file for three years after the close of the recruitment.