Skip to main content
  • Duke@Work
  • About HR
  • Managers
Home

Human Resources

Search form

  • Careers
    • Search/Apply for Jobs
    • Frequently Asked Questions
    • Duke Temporary Service (DTS)
    • About Duke
    • Job Descriptions
    • Affirmative Action & Nondiscrimination
  • Benefits
    • Medical, Dental, & Vision Benefits
    • Reimbursement Accounts
    • Employee Discounts
    • Retirement
    • Time Away From Duke
    • Educational Benefits
    • Family-Friendly Benefits
    • Financial Security Benefits
    • Benefits Unique to Duke
    • Employee Appreciation
    • Benefits Enrollment
    • Summary Plan Descriptions & Required Notices
  • Health & Wellness
    • Get Moving Challenge
    • LIVE FOR LIFE
    • Health Assessments
    • Farmers Market
    • Mobile Farmers Market
    • Duke Fitness Club
    • Run/Walk Club
    • Exercise & Fitness
    • Mental Health & Stress
    • Webinars
    • Personal Assistance Service (PAS)
    • Health Coaching Programs
    • Nutrition Programs
    • Tobacco Cessation
    • DukeWELL
    • Employee Occupational Health & Wellness (EOHW)
    • Workers' Compensation
  • Compensation
    • Pay Statements
    • Pay Schedules & Forms
    • Pay Ranges & Job Classifications
    • Overtime Changes
  • Training
    • Learning Management System
    • Professional Development Course Offerings
    • Special Development Programs
    • Career Resource Center
    • Consulting & Organization Development
    • Location & Facilities
  • Policies
    • Recruitment, Hiring, & Transferring
    • Diversity & Institutional Equity
    • Workplace Expectations & Guidelines
    • Staff Development
    • Benefits
    • Pay Administration
    • Payroll
    • Time Away From Duke
    • Workplace Health & Safety
    • International
    • Definitions
  • Forms
    • Benefits Forms
    • Manager Forms

You are here

  • Home
  • Policies
  • Workplace Expectations & Guidelines
  • Personnel File Access

Access to Duke or Department Personnel File(s) and Recordkeeping Requirements Policy

Policy Information

Policy Number: 04.08
Issued Date: 07/01/2006

Related Links

  • Retention of Search and Selection Records

Policy Statement

Duke maintains individually identifiable personnel files on persons who have been or who are its staff, for the purpose of making employment decisions.

A staff member is entitled to inspect or to obtain a copy of his or her own Duke or department personnel file. Duke personnel files may only be examined within the confines of the Office of Human Resources during normal work hours. A record will be maintained of all individuals and agencies requesting information from personnel files. Department personnel files may only be examined within the confines of a supervisor’s office, with the supervisor present.

No individual or private or public agency external to Duke will be permitted access to any individual's Duke personnel file without the express written consent of the individual concerned, but with the following exceptions.

Information in such files will be provided voluntarily to federal or state agencies when: the agency has jurisdiction to make the particular inquiry, the information being sought is obtainable by subpoena, and the appropriate Duke officials are satisfied that the information being sought is actually pertinent to the agency's inquiry. Duke staff have access to another staff member’s Duke or department personnel file only on the basis of a need to know. All persons examining a file on the basis of a need to know will treat the contents of the file as confidential, unless under legal subpoena and/or when contents may be incorporated into a recommendation governing the future status of the staff member.

Policy Details

  • Department Files
  • Duke Personnel File
  • Recordkeeping

Department Files

Duke staff may review their department personnel file by scheduling an appointment with his or her supervisor. The supervisor must be in attendance during the file review, and the file is to be viewed only within the office where it is kept. Staff may add letters of recommendation or other materials that they deem to be useful for employment references in their department personnel files. When a staff member transfers from one department to another, the department personnel file should be forwarded to the hiring department. The current department may retain a copy of the department personnel file if desired.

Duke Personnel File

The Office of Human Resources maintains a copy of each staff member’s personnel file. This file contains payroll and benefits forms as well as all change-in-status forms and other correspondence regarding a staff member’s employment history at Duke. These files are available for review by a staff member upon request. The staff member should contact the Human Resources Office to schedule an appointment. In all cases, the file is to be viewed only within the Office of Human Resources. Ordinarily, the only information that will be released from a staff member's personnel file in response to an outside inquiry will be job titles and dates of employment – except in instances when further information is required to be divulged by law or by the provisions of an applicable contract or grant. A staff member may authorize the release of additional information by submitting a written request to the entity or department Human Resources representative or the Duke Human Resources office. To ensure accurate contact information and to comply with the Internal Revenue Service's tax reporting requirements, staff members must immediately report any of the following changes to their supervisor and/or to Duke Human Resources:

  • Name
  • Address
  • Emergency contacts
  • Immigration status
  • Marital stat

Recordkeeping Requirements

Ordinarily, the only information that will be released from a staff member's personnel file in response to an outside inquiry will be job title and dates of employment, except in instances when further information is required to be divulged by law or by the provisions of an applicable contract or grant. A staff member may authorize the release of additional information (e.g., for bank, credit or employment references) by submitting a written request to the entity/department Human Resources representative or the Duke Human Resources office.

The following chart provides employment recordkeeping requirements. Most of this information is stored centrally in HR/Payroll records and does not need to be kept by the department.

Information Retention requirement Law
Staff member name and any identifying number used in place of the name used on any work records (stored centrally) 4 years from tax due date or payment of tax, whichever is later Social Security Act
Social Security Number (stored centrally) 4 years from tax due date or payment of tax, whichever is later Social Security Act
Staff member home address, including zip code (stored centrally) 4 years from tax due date or payment of tax, whichever is later Social Security Act
Date of birth if the staff member is under 19 (stored centrally) 3 years FLSA

Equal Pay Act

Date of birth of all staff members (stored centrally) 3 years ADEA
Gender of staff member (stored centrally) 3 years FLSA

Equal Pay Act

Occupation of staff member (stored centrally) 3 years FLSA

Equal Pay Act

ADEA

Age records (stored centrally) No time period specified by law ERISA
Service record to determine whether a staff member has worked 1000 hours or has incurred a break in service (stored centrally) No time period specified by law ERISA
Marital status record (stored centrally) No time period specified by law ERISA
Form I-9 (stored centrally) 3 years after hire or the date of recruitment or referral (if directed from an employment agency) or, after termination, for one year or 3 years after hiring, whichever is later Immigration Reform and Control Act of 1986
Complete job application 3 years Title VII

ADA

Resumes or other forms of employment inquiry 3 years ADEA
Other hiring material 3 years Title VII

ADA

Job orders submitted by an employer to an employment agency 3 years ADEA
Test papers for a position if the test paper discloses the result of the test 3 years ADEA
Results of any physical examination that is considered by the employer in connection with personnel action 1 year ADA
Any advertisements relating to job openings 3 years ADEA
Records of job movement (promotions, demotions, transfers) 1 year Title VII

ADA

ADEA

Material relating to layoffs 1 year Title VII

ADA

ADEA

Material relating to termination 1 year

 

Records of involuntarily terminated staff members must be kept for a period of one year from the date of termination.

Title VII

ADA

Selection for training or apprenticeship 1 year Title VII

ADA

ADEA

Requests for physical job accommodation 1 year ADA

*The safest course is to retain all records for 4 years.

Policies

  • Recruitment, Hiring, & Transferring
    • Recruitment & Hiring
    • Transfers & Promotions
    • Eligibility for Rehire
    • Employment Status & Eligibility
    • Nepotism (Hiring of Relatives)
    • Trial Period
    • Orientation & Evaluation Period
    • Continuous Service Date
    • Reference & Background Checks
    • Retention of Search & Selection Records
    • Temporary Employment
    • Volunteer & Unpaid Intern Policy Guidelines
  • Diversity & Institutional Equity
    • Equal Employment Opportunity & Affirmative Action
    • Americans with Disabilities Act
    • Consensual Relationships
    • Harassment & Discrimination
  • Workplace Expectations & Guidelines
    • Standards of Conduct
    • Dispute Resolution Process
    • Leaving Duke: Voluntary and Involuntary
    • Reduction-in-Force
    • Workplace Attire
    • Severe Weather & Emergency Conditions
    • Personnel File Access
    • Duke Identification
    • Use of Computing & Electronic Resources
    • Conflict of Interest or Commitment
    • Confidentiality
    • Protected Health Information and Patient Privacy
    • Integrity in Action - Duke Health Compliance Program Code of Conduct
    • Non-Solicitation
    • Arrest or Conviction
    • Minors in Duke University Programs
    • Sexual Misconduct
  • Staff Development
    • Professional Development Opportunities
  • Benefits
    • Eligibility for Benefits
    • Enrolling & Making Changes in Benefits
    • Survivor's Benefits
    • Benefits in Retirement
  • Pay Administration
    • Pay Administration
    • University Pay Structure & Processes
    • Health System Pay Structure & Processes
    • Hours Worked
    • Zero Rate of Pay Employment Status
  • Payroll
    • Recording, Reporting & Payment of Work Time
    • Taxability of Awards & Gifts
  • Time Away From Duke
    • Maintenance of Time Off Records
    • Availability for Work
    • Corrective Action
    • Vacation for University Staff
    • Holidays for University Staff
    • Sick Leave for University Staff
    • Bereavement/Funeral Leave
    • Payout of Accrued Time (University)
    • DUHS: Paid Time Off
    • Payout of Accrued Time Upon Leaving DUHS
    • Transferring Between University & DUHS
    • Jury Duty
    • Voting
    • Kiel Memorial Voluntary Vacation/PTO Donation Program
    • Leaves of Absence
      • Family Medical Leave Policy
      • Military Leave Policy
      • Personal Leave Policy
    • Leave for Parent Involvement in Schools
    • Paid Parental Leave
  • Workplace Health & Safety
    • Safety
    • Tobacco Use
    • Substance Abuse
    • Disability and Impairment
    • Criminal Drug Conviction
    • Pre-placement Health Reviews
    • Periodic Health Review
    • Pre-placement Substance Abuse Screening
    • Work-Related Injury/Illness
    • Workers Compensation
    • Returning to Work from a Work-Related Injury/Illness
    • Workplace Violence Prevention and Response
    • Prohibited Weapons
    • Building & Facilities Access
  • International
    • Education Allowance
    • Vaccinations / Travel Health Review
    • Travel Documentation
  • Definitions

Human Resources

Duke Human Resources
705 Broad St. Box 90496
Durham, NC 27705
Phone: (919) 684-5600
Have questions?

Follow Us
  • Facebook
  • Twitter
  • Linkedin
  • Youtube
Duke University
  • Duke University
  • Working@Duke