HR Personnel Files

Op10.04-17 HR Personnel Files

Purpose

Maintaining necessary personnel records in an appropriate format is vital to the operation of the University’s payroll, benefits, and employee management systems.

Application

Missouri State University, HCC, and workforce.

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 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.
      • The Equal Opportunity Officer.
      • 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, equal employment opportunity 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. Employees have the right to insert concise information in their files in response to material they deem unfair or incorrect.
      
      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.
   2. 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 shall consist of: the Personnel File (which includes the confidential folder); the Workers’ Compensation File; the Family & Medical Leave Act (FLMA) File; and the Medical File. Specific pieces of information are to be maintained in each separate file. Items maintained in the individual personnel files should include but not be limited to:
      • 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
      • Fee Waiver Forms
      • Employee Handbook Sign-Off Sheet
      • Application Form & Resume & Transcripts
      • Certifications
      • Employment Verifications
      • Miscellaneous Letters
      • Request for Transfers & Promotions / Job bids
      • Confidential Folder
      • I-9 For
   3. Information that should be maintained in the Confidential Folder include:
      • letters of reference or recommendation
      • managerial records
      • civil and criminal investigation record
      • criminal background report
      • clerical test and scores
      • Office of Human Resources interview notes
      • other necessary correspondence
      • Information that should be maintained in the Workers’ Compensation file include:
      • Initial Injury Report
      • On-the-Job Injury Report – All Employees
      • State – Risk Management Section – Employee Injury Report
      • Authorization to Release Medical Records
      • Workers’ Compensation Investigation Report – Supervisor’s Statement
      • Early Return to Work – Physical Assessment
      • Witness Statement
      • Requisition for Workers’ Compensation Claims
      • Time Lost Report
      • Request for Leave Forms
      • Return to Work Notice
      • Explanation of Absence
      • Health Insurance Claim Form (HICF)
      • Central Accident Reporting Office (CARO) Documents – Letters, Forms, Etc.
      • Department of Labor – Division Workers’ Compensation Forms
   4. Information that should be maintained in the Family and Medical Leave Act (FMLA) file include:
      • FMLA Questionnaire
      • FMLA Provisions – Back of Questionnaire
      • Certification of Health Care Provider – Form WH-380
      • Request for Leave Forms
      • Leave Accounting System Browse Copy
      • Calculation of Leave Lost and Gained Sheet
      • Medical Provider Document on Work Status
      • Information that should be maintained in the Medical file include:
      • Pre-Employment Physical
      • Requirements for Doctor’s Verification of Illness
      • Physician’s Statements
      • Medical Clearance to Return to Work, Clinical Evaluations, Ability to Perform Essential Functions Statements
   5. The Office of Human Resources should also maintain an employee grievance file, consisting of grievances and/or grievance responses.
   6. The information maintained in the Medical file and the Confidential Folder will not be considered as part of the employee’s individual personnel file. This information will be accessed only on a need to know basis.
   7. Failure to comply or assure compliance with the requirements of this Department Operating Regulation will result in disciplinary action, up to and including dismissal.
   8. Director of Human Resources, or designee, will collect information by means of a tracking log located in the Office of Human Resources to determine who received access to the personnel file(s) and the University Privacy Officer will collect information from the Unit Privacy Officers during the month of April each year beginning in 2004 for the purpose of providing feedback to the HIPAA Management Team as to compliance with the procedure and any proposed modification or recommendation that additional training be implemented.

HISTORY: Effective March 21, 2003