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Summary

The °ÄÃÅÁùºÏ²Ê¹ÙÍø¿ª½± maintains employment records for all university employees. Employment records provide information on the employee's job history at the University, including performance, pay, employment letters, employment actions, and other matters related to the employee’s employment.

This policy addresses personnel file management, confidentiality, release of information, and more.

If any part of this policy does not reflect the Collected Rules and Regulations (CRR), the provisions of the CRR will govern.

Policy

Per Collected Rules and Regulations, Section 180.060: Personnel Files (Amended 04-22-21):

1. Inspection -- Any employee may inspect the employee's own personnel records and can request that these records be made available to the employee's union representative.
2. Advance Notice -- Such request to inspect records or make them available shall be made in writing with reasonable notice.
3. Personnel File Management -- The personnel file is the file maintained by the Human Resource Office and may include items not available to employees such as letters of recommendations and legal documents which must be considered confidential and available only to supervisory personnel who must necessarily have access in order to make appropriate decisions.
4. Warnings, Reprimands or Actions -- If an employee's record has been free of written warnings, reprimands or disciplinary actions related to attendance or tardiness for a period of two (2) years of continuous employment the University will not base any current disciplinary actions related to attendance or tardiness on the earlier warnings, reprimands or disciplinary actions. If, however, additional warnings, reprimands or suspensions related to attendance or tardiness have been given during the past two (2) years, then the employee's entire record will be considered in determining appropriate disciplinary action. For all other warnings, reprimands or disciplinary actions, such as warnings, reprimands or disciplinary actions related to discrimination, harassment and sexual misconduct, no such time limitation applies.

Further HR Policy Provisions

1. Categories and types of documents
   The following records are considered part of the Personnel File:
   1. Employment history records such as application materials, offer and resignation letters, contracts and/or agreements, certifications/degrees/education, and other employment-related documentation.
   2. Performance management records such as position descriptions, performance expectations, recognition and awards, coaching, and disciplinary or corrective action, and performance reviews.
   3. Academic employee records such as academic appointment letters, faculty conduct letters, tenure and emeritus recognition, academic 3rd-year review, and promotion and tenure documents.
   4. Payroll and attendance records such as timesheets, approved absences, taxes, and paycheck distribution.
   5. I-9/Immigration documents such as eVerify, I-9 and supporting documentation, immigration petition and approvals, and other documentation related to eligibility to work in the United States.
   6. Medical documents such as medical leaves, accommodations and benefit elections (kept in separate confidential files).
   7. Retirement documents such as retirement and investment enrollments, beneficiaries, calculations, and distributions.
2. System of Records
   
   1. The personnel file is maintained by Human Resources in central and secure systems of records approved by UM System Human Resources Chief HR Officer. Records are retained according to the University Records Management policies.
   2. Unless otherwise required by law or policy, records that are part of the Personnel File may not be retained in unit files for periods longer than needed for appropriate processing of personnel actions. Documents should not reside in other locations including emails and department computers. Records should move to an approved electronic storage system consistent with this policy.
3. Confidentiality and University Access
   
   1. Identifiable personal employee information will be regarded as confidential, subject to the access and use within the University only for appropriate University operational purposes, and subject to external release only as required by law or permitted by policy.  Reasonable precautions must be taken to assure confidentiality in accordance with these standards, including compliance with policies, directives, and guidance established by Human Resources and University Information Technology.  Anyone handling identifiable employee information must employ reasonable precautions to assure appropriate confidentiality at all times, including during file transmission.
   2. Access to records that are part of the Personnel File is restricted to authorized personnel for work-related purposes, including Human Resources, the employee’s immediate supervisor or other chains of command, University legal counsel, and other individuals deemed appropriate by the Chief Human Resources Officer.
   3. Records within the Personnel File will be subject to additional access restrictions and requirements for maintenance in separate files as required by policy or direction of the Chief Human Resources Officer or designee.  Examples include but are not limited to records relating to medical issues and internal investigations.
4. External Release of Employee Information
   
   1. Unless pertaining to student employment as identified in IV.B. below, the following employee information may be released without authorization:
      
      1. name
      2. position or job title
      3. verification of current or past employment
      4. dates of employment
      5. home department
      6. campus mailing address
      7. campus telephone number
      8. campus e-mail address and
      9. salary information.
   2. Identifiable personal information regarding student employment may not be released without written authorization of the individual or as otherwise permitted by the Family Educational Rights and Privacy Act (FERPA) or required by law.
   3. Unless disclosure is required by law, any additional identifiable employee information is not to be released without a written request or permission from the employee or written authorization from the Chief Human Resources Officer, or designee who has determined that the information may be released having considered the overall nature and logic of the request, and any applicable laws, and security standards and controls to protect employee information.
   4. Computerized listings of employee salary information will be provided as required by law. To the extent permitted by law, the cost of providing computerized listings of employee information will be borne by the person/organization receiving the information. Computerized listings of employee information will not be provided to outside individuals or organizations for the purpose of soliciting business or promoting commercial products or commercial services unless required by law.
5. Procedures
   
   1. Employee Personal Information
      
      1. To keep the University's personnel records current, employees may use the online self-service to update information such as emergency contact, home or cell phone numbers, address, and educational accomplishments. To request changes not available in myHR, employees may contact Human Resources.
      2. An employee may restrict the release of their home mailing address and home telephone number for any purpose other than disclosure as required by law by checking the appropriate box on the Personal Data Form or the Change of Address Form. 
   2. Income and Employment Verification
      
      1. The °ÄÃÅÁùºÏ²Ê¹ÙÍø¿ª½± System may contract with an outside vendor to provide employment and income verification service for current and former UM System employees.
      2. The vendor partner will verify only employment and income information; it will NOT provide other personal information. Visit Income and Employment Verifications for more information.
   3. Requesting access to review the Personnel File
      
      1. Employees may review their Personnel File upon request by appointment with reasonable notice.
      2. Employees may request copies of documents from their Personnel File with reasonable notice. Campus, Hospital, or System Human Resources may implement a fee to cover costs associated with responding to such requests.
      3. Current and former employees may not review or obtain copies of items considered restricted and available only to supervisory personnel who have access to make appropriate employment and management decisions.  Such records will be identified by policy or upon review by the Chief Human Resources Officer or designee.
      4. Employees who dispute the accuracy or completeness of information in their Personnel Files should discuss their concerns with Human Resources. If it is determined the information shall remain in the file, the employee may submit a brief written statement to include with the disputed document(s).

See Also

HR-125 Employment Records Q&A
CRR 10.061: Public Records
CRR 180.060: Personnel Records
HR-112 Transfers
HR-118 Separations
Records Retention Authorizations
Health Insurance Portability and Accountability Act (HIPAA)
Family Education Rights and Privacy Act (FERPA)

Date Created: 05/01/2021;
Updated: 11/15/2022;