Personnel File
Document Flow
Planning your unique document flow is helpful when considering how personnel file
documents will be received, scanned and monitored for quality. We have included some
examples of personnel file document flow processes in the slides that follow.
Please plan to develop a personnel file document flow diagram to document the process
within your division. When mapping out this process, it is important to consider existing
processes/structures and how they will be incorporated into the new processes for handling
personnel file documentation. Most aspects of the document flow and quality monitoring
should be designed to meet the needs of your division/school/college.
Your personnel file document flow diagram can also very useful as a resource and when
training staff involved in personnel file imaging, and should be updated when changes to
your process occur.
Note: You can download the flow charts in an editable format at: go.wisc.edu/121964
Overview - Engineering HR Personnel File Document Flow
About Engineering HR: Engineering is a decentralized HR department serving the
division administration as well as the 9 academic departments. There are
additional staff located in the departments that provide HR services to their
departments directly. Engineering HR oversees entry into the personnel file for all
documents from the departments. Departments are able to scan PDF documents
into their department faculty and staff personnel files. Engineering Divisional HR
oversees entry in the personnel file for all faculty and staff.
How Engineering HR receives documents: The documents received are in either
electronic format (e.g. PDF, Word, etc.) or hardcopy. Engineering HR continues to
receive both electronic and hardcopy documents with an increasing number of
electronic documents received from our units and departments.
College of Engineering
Engineering HR
staff review
document for
completeness
Capture
document & save
to Workflow
Queue; then route
to QA Queue
Not OK
College of Engineering
Review doc
in QA Queue
Correction on
document needed
Print & make corrections/
delete from QA
• Signature needed
• Date needed
Respond to questions
Document type
Index key value
Makenotationin“Notes”field
withquestion(orask).
EmailHRAssistant,Director,orHR
Managertoletthemknowyou’ve
placedadocumentwithanotein
theReviewQueue.
Review QA Queue
10 Days, then auto-
complete
• HRDirectororHRManagerswill
auditthisqueueandreview
documentswithnotes.
• Documentswillberoutedbackto
QAorcompleted.
Complete!
Dean’s Office or
Department HR receives
a document
Hardcopy Documents
Document forwarded
to HR student
Document saved to
shared drive folder
HR receives/creates
e-document and begins
next step
E-documents
EngineeringHRstaffwillscan/link
documentsinImageNow ORrouteto
HRstudent.RoutehardcopyORe
documenttoHRstudent(notboth).
HRstudentswillcheckshareddriveas
partofnormalroutine.
NOTE:ImagingisNOT usedforP&B,
medical,orothernonpersonnelfile
documents.
Hardcopydocuments
shouldbecorrected
beforecontinuing.
Edocumentsshouldbe
correctedandscanned
again,ensuringall
partieshavean
updatedcopy.
Printdocument,ifneeded,andcheck
upperrighttoindicateimagingcomplete.
Filedocumentincabinet.
ReferencePfileImaging
Procedures& Document
Crosswalkforassistance.
OK
Overview - DoIT HR Personnel File Document Flow
About DoIT HR: DoIT Human Resources is a centralized HR department serving
the division and does not have additional HR staff located within departments.
How DoIT HR receives documents: DoIT HR receives hard copy and electronic
documents from division employees, managers, etc. The division is decreasing
the amount of hardcopy documents generated and will be increasing the
number of files received electronically as PDFs and from other electronic
systems (e.g. Performance Management).
Division of Information Technology
DoIT HR staff
review doc for
completeness
Not OK
Review doc
in QA
Queue
Correction on
document needed
Print & make corrections/
delete from QA
• Signature needed
• Date needed
Question for HR
Assistant Director
• Document type
• Index key value
• Make notation in “Notes”
field with question (or ask).
• Email HR Assistant Director
or HR Director to let them
know you’ve placed a
document with a note in
the Review Queue.
Review Queue
10 Days, then auto-
complete
• HR Assistant Director or HR Director will audit
this queue and review documents with notes.
• Documents will be routed back to QA or
completed.
Complete!
• DoIT HR staff will scan/link documents in
ImageNow OR route to HR student.
Route hard copy OR e-doc to HR Student
(not both).
• HR Students will check student email and
shared drive as part of normal routine.
• NOTE: Imaging is NOT used for: P&B,
Medical, or other non-personnel file
documents at this time.
• Hardcopy
documents should
be corrected before
continuing.
• E-documents should
be corrected and
scanned again,
ensuring all parties
have an updated
copy.
• Print document, if needed, and check upper
right to indicate imaging complete.
• File document in cabinet.
• Reference P-File
Imaging Procedures &
Document Crosswalk
for assistance.
Division of Information Technology
DoIT HR receives/creates
a hardcopy document
Hardcopy Documents
Document Saved to
Shared Drive
Folder-N:\DoIT\HR\DoIT.DoIT HR\HR
Team\Scanned Documents\To Be Filed
(Electronic P-files)
DoIT HR receives/creates
e-document and begins
next step
E-documents
Document emailed to
DoIT HR student account
OK
Capture
document & save
to Workflow
Queue; then route
to QA Queue
Overview – OVCRGE HR Personnel File Document Flow
About OVCGRE HR: OVCRGE is a decentralized HR department serving the
division administration as well as the 17 research centers (departments) that are
included in OVCRGE. There are additional staff located in the research centers
(departments) that serve provide HR services to their research centers
(departments) directly. OVCRGE HR receives and ensures entry into the
personnel file for all documents from the research centers
(departments). OVCRGE HR creates and ensures entry in the personnel file for
all OVCRGE administration and Graduate School staff.
How OVCRGE HR receives documents: The documents are received in either
electronic format (e.g. PDF, Word, etc.) or hardcopy. OVCRGE HR continues to
receive both electronic and hardcopy documents with an increasing number of
electronic documents received from the research centers (departments).
Office of the Vice Chancellor for Research and Graduate Education
OVCRGE HR staff
review
document for
completeness
Scan/Link
document
using P-file
imaging
procedure
Not OK
OK
QA Queue
Correction on
document needed
Print & make corrections/
delete from QA
• Signature needed
• Date needed
Question for HR Manager
• Document type
• Index key value
• Make notation in
“Notes” field with
question (or ask)
• Email HR manager to let
them know you’ve
placed a document with
a note in the Review
Queue
Review Queue
10 days, then auto-
complete
• HR Managers* will audit this queue
and review documents with notes
• Documents will be routed back to QA
Queue or completed
*At this time the QA Queue will be
monitored by Trisha Bauer. Eventually, this
will be monitored by all HR managers
Complete!
• OVCRGE-HR staff have the ability to scan/link
documents in ImageNow. They can scan/link
OR route to HR students. If route to HR
students, then hard copy OR e-doc but not
both.
• HR Students will check shared drive and “to be
scanned” bin as part of normal routine. HR
students can not retrieve documents once they
have been sent to the Review Queue.
• NOTE: Imaging is NOT used for: Pay & Ben,
Medical, or other non-personnel file
documents at this time.
• Hardcopy
documents should
be corrected before
continuing.
• E-documents should
be corrected and
scanned again,
ensuring all parties
have an updated
copy.
• Print document, if needed, and check upper right corner to indicate imaging complete.
• File document in paper personnel file and/or payroll binder. If unable to file right away, put document in
to-be-filed bin. To be determined when no longer maintaining duplicate paper personnel file.
• Delete e-document from shared directory once scan is complete.
Office of the Vice Chancellor for Research and Graduate Education
OVCRGE HR
receives/creates a
hardcopy document and
puts document in the “to
be scanned” bin
Hardcopy Documents
E-documents
OVCRGE receives/creates
e-document and saves
document in the Shared
Drive folder –
S:\HR\Scanned P-File Docs to be Filed
OK
Front of folder Back of folder
Hanging Folder –
what’s inside?
Documents
A C
B
A = Scanned documents – keep
documents that are already scanned in
ImageNow in the front of the folder
B = Place a colored sheet / sticky note
behind documents that have already
been scanned to separate them from
unscanned documents
C = Unscanned documents – to be
processed in ImageNow
D = Insert containing documents that
should not be scanned (i.e. insurance
forms, TSA documents, w4, etc.) – stays
behind all required P-File documents.
Notes:
• Keep all documents in time/date order –
documents will be oldest in the back and newest in
the front
• Once documents have been scanned a (√)
checkmark will be added to document in upper
right corner
P-File Organization While Scanning
Office of the Vice Chancellor for Research and Graduate Education
P-File organization while scanning
D
Newest Oldest
Overview – SMPH HR Personnel File Document Flow
School of Medicine and Public Health
SMPH HR
business partner
reviews doc for
completeness
SMPH HR business
partner or HR student
captures doc and
saves to Workflow
Queue
HR Operations
reviews doc in QA
Queue
OK
If necessary,
print and
make corrections -
delete from QA
Review Queue within
10 Days –
auto-complete
Complete!
Hardcopydocumentsshouldbe
correctedbeforecontinuing.
Edocumentsshouldbe
correctedandscannedagain.
SMPH HR
Business partner
scans
documents in
ImageNow OR
routes to HR
student
OK
Recapture modified
doc & save to
Workflow Queue
School of Medicine and Public Health
SMPH HR business
partner receives/creates
a hardcopy document
Hardcopy Documents
Document saved to
shared drive
(Electronic P-files folder)
SMPH HR business
partner receives/creates
e-document
E-documents
Not OK
Documentis
eithercomplete
orroutedbackto
QA