HR Personnel Files

Op10.04-17 HR Personnel Files

1. Procedures
   1. The policy of the Office of Human Resources pertaining to access to records maintained in HR safeguards against improper disclosure and protects employees' rights to privacy. Individually identifiable personnel records, performance ratings or records pertaining to employees or applicants for employment, and records of hiring, firing, disciplining or promoting an employee of the University are and shall be considered closed records pursuant to§§ 610.021 (3) and (13), R.S.MO., except as provided in those sections or other law or specific action of the Board of Governors, including
      this policy.
      
      The following persons shall have the right of access to review an employee's HR personnel file:
      
      • The employee who is the subject of the file.
      • An attorney or designee of the employee.
      • Supervisory employees who are considering the employee for promotion, transfer, reassignment, demotion, dismissal or other personnel actions.
      • A University attorney or other appropriate officer when needed in connection with any action brought by the employee against the University.
      • Other persons acting in compliance with federal, state or local laws such as auditors, Office for Institutional Compliance investigators, etc., or in response to a lawfully issued subpoena or court order.
      • University supervisory or administrative personnel who can establish a justifiable need.
        
        
      The file shall be reviewed in the Office of Human Resources in the presence of a member of the Office of Human Resources staff. Employees may take notes or make copies. If an Employee believes that an inaccurate performance evaluation has been rendered, a written response to the evaluation may be submitted as outlined in the Employee Handbook, G7.02-5.4.
      
      It is the policy of the University that former employees are not entitled to access their closed personnel records (absent subpoena or other legal process), nor may they access the personnel records of any other employee whether former or currently employed.
      
      The University may charge a fee to parties who request and are authorized copies of employee files. The Board of Governors has established a standard fee structure based upon the average compensation rates, including fringe benefits, of clerical and/or professional staff required to respond to the request and the actual cost per copy for copy machine and supplies.
      
      In order to provide management with appropriate information to base personnel decisions upon, an employer personnel file must be maintained. Such files are required to be maintained in locked files or within a locked room to assure privacy and security. The contents of such files should be maintained in accordance with current State of Missouri Records Retention Schedule.
      
      An employee’s personnel file should include include work related documents such as:
      
      
      • Employee Record Summary
      • Supplemental Pay Record
      • Annual Benefit Summary
      • Leave Statements
      • Increase Leave Accrual
      • Notifications & Personnel Action Forms
      • Performance Evaluations
      • Employee Information Sheet/Yellow (WP White)
      • MOSERS Member I.D. Record
      • Any Other MOSERS Forms/Change of Address
      • Employee Handbook Sign-Off Sheet
      • Application Form & Resume & Transcripts
      • Certifications
      • Employment Verifications
      • Miscellaneous Letters
      • Request for Transfers & Promotions / Job bids
      • Confidential Folder
      • I-9 Form
      • letters of reference or recommendation
      • managerial records
      • background checks and other investigation records
      • Office of Human Resources interview notes
        
        
   2. Information regarding any Workers' Compensation injuries and/or claims shall be maintained in a Workers' Compensation file and this file will not be part of the Personnel File. This information will be accessed only on a need to know basis.
      
      
   3. Information regarding leave under the Family Medical Leave Act (EMLA) shall be maintained in a separate EMLA file and this file will not be part of the personnel file. This information will be accessed only on a need to know basis. The EMLA file should include all documents related to an employee's request for and/or use of FMLA.
      
      Failure to comply or assure compliance with the requirements of this Department Operating Regulation will result in disciplinary action, up to and including dismissal.