CHECKLIST: Contents of a Staff Employee’s Confidential File

Summary: A staff employee's confidential file contains documents not directly related to the employee's job and may contain personal information. The confidential file is part of an employee's personnel record.

Access to the Confidential file is limited to only those with an immediate "business need to know," or by subpoena, or when requested by the employee. It is recommended that the Confidential file be kept separate from the employee's General file and placed in a separate file folder within the expanding folder holding the employee's Medical file.

Relevant Content:
________ I-9 Forms (original sent to Payroll)
________ W-4 Forms (original sent to Payroll)
________ Earnings Disposition (original sent to Payroll)
________ Settlement agreements
________ Investigation records
________ Discrimination complaint
________ Legal Case data (unless deemed Attorney-Client Privilege — see below)
________ Accusations of policy or legal violations
________ Notes, etc.
________ Grievance Materials (copies - Labor Relations Unit keeps originals)
________ Visa documentation (if applicable)
________ Verification of Employment
________ Unemployment Insurance claims
________ Benefit-related forms (originals sent to Payroll)

A separate Attorney-Client Privilege File should be kept if there is any documentation of communications with UC/UCI/or outside designated counsel. Appropriate inclusions in this file are memos to and from counsel, legal advice, request for legal opinions. If you have any questions about whether the documentation should be considered covered by Attorney-Client Privilege, it is recommended that you ask counsel. This file must be kept in a separate file folder and placed in the expanding folder containing the employee's Confidential and/or Medical File. Access to this file is limited to those with an immediate "need to know" and is not subject to production even with a subpoena or employee request.


For more information refer to the Personnel Records Management menu.

Need an expert? Contact Human Resources, (949) 824-5210 or Ann Theisner, (949) 824-4103.

Notice: University policies, procedures and applicable collective bargaining agreements shall supersede information in this document or elsewhere on this site.


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