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PPM Section 19 - Employment Files and Forms

Human Resources is charged with maintaining the official University records for all employees. These records are compiled and maintained in Human Resources. The Provost's office also maintains files for faculty members. The faculty contract should be consulted when questions arise concerning faculty personnel files. Individual departments may also maintain employment and performance records for their employees. However, the official employment record for all employees is the document file retained in Human Resources.

Establishing files

Upon receipt of an appointment form indicating an appointment to faculty or staff with benefit eligibility, Human Resources establishes a University document file. Because the appointment form is the official University document for faculty and staff appointments and the instrument by which an individual is placed on the University payroll, it is critical that the information given on the form be complete and accurate.

Content

All official employment records and documents pertaining to employment are placed in each employee's document file maintained by Human Resources.

The standard records required and responsibility for the initiation of the record and/or forwarding of the record to Human Resources are listed below.

Hiring department

Required records and responsibility for initiating and forwarding to Human Resources by hiring department:

Individual employee

Required records and responsibility for initiating and forwarding to Human Resources by individual employee:

Human Resources

Required records and responsibility for initiating and forwarding to document file by Human Resources:

Payroll

Required records and responsibility for initiating and forwarding to Human Resources by Payroll:

Additions to content

No one other than the Human Resources staff may physically add a document to any employee's official employment document file.

University employees who wish to have certain documents added to their official employment document file should submit the documents to Human Resources. Human Resources will determine if it is appropriate to add the documents to the respective file.

Removal of content

No original material on file may be removed or taken out of an employment document file by anyone other than the Manager of Human Resources Information Processing.

A request to remove documents in a file which have no probable future usefulness may be directed to the Manager of Human Resources Information Processing, who will investigate, seek any appropriate approval, and make a determination.

Employees who object to the content of document in their own official employment document file may seek redress by through a formal grievance or by submitting a written statement of objection to the Manager of Human Resources Information Processing, who will investigate, seek any appropriate approval, and make a determination.

Access to files

Retention of files

Personnel files are retained by Human Resources permanently.

Departmental files

Individual departments should retain appropriate files and records for the duration of employment and for three (3) years after an individual has left University employment. Upon the expiration of three (3) years past employment, unless there is any pending legal action, departmental records should be shredded.

See PPM Section 5 - Direct Compensation: Hours Worked and Pay for information about departmental time reports.

Release of Information

Subpoenas and other legal documents requiring action or appearance

Other requests for information

Requests originating from outside of the University for information on current or former (non-student) employees should be referred to Human Resources. Requests regarding student employees should be forwarded to Career and Student Employment Services.

Position title, employment dates, and employment status are released on employees when requested by institutions/individuals with a bona fide need to know, e.g., banks, insurance companies, credit bureaus.

Release of other information from an individual's University document file to persons other than those authorized will not be made without the employee's written request and/or legal action. The University reserves the right to control the release of its official records, including information it has retained in personnel files, except under compelling legal action.