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Personnel File Policy

Personnel File Policy

Authority: 
Academic and Student Affairs
Date enacted or revised: 
Revised April 2016

Purpose

 
The purpose of this policy is to provide guidelines for storage and accessibility of official employee personnel files and employment and service related documents maintained within these files.

Procedures

 
Official personnel files are stored in a secure manner for each University employee.  The Office of Human Resources and Student Employment maintains files for all employees pertaining to employment, benefits, retirement plans, insurance, and other related matters. 
 
Public records information may be included in personnel files.  Public records information is accessible by the public under applicable public records laws when a formal request is submitted in writing to the appropriate university official.
 
Personnel files include confidential documents such as information regarding insurance, retirement plans, drug testing, etc.  Confidential file information is protected from public access; however, it is not necessarily protected from persons within the University or  persons from other government entities who have a legitimate need to know based upon a legitimate governmental reason or when mandated for legal or court ordered reasons with proper request and authorization. 
 
Personnel files are maintained for each employee and contain the following information and other documentation as necessary:

  • Public Records 
  • Private Records  (confidential records)
  • Medical Certifications or FMLA (confidential records)
  • Insurance (confidential records)
  • Retirement (confidential records)
  • Workers Compensation (confidential records)
  • Drug Testing (confidential records)
  • I-9 Form (confidential records)
  • Evaluations (confidential records)
 
 
Supervisory or Departmental Files
 
Supervisory files are maintained in a secure manner in the office of an employee’s supervisor.  Supervisory files should be maintained on all employees and may include:  job performance notes, job descriptions, pre-discipline or records of counsel-- both verbal and written, performance evaluations, professional development, and letters of commendation or disciplinary personnel matters.
 
The Department Head is responsible for maintenance of departmental faculty and staff files and for formulating an office procedure in consultation with the dean/supervisor which stipulates what materials are placed in these files.  At a minimum, the Annual Performance Report and signed rating sheet along with supporting documentation must be maintained in the file.  Faculty and staff members are allowed access to the supervisory file maintained in the department/supervisor and/or supervisor/dean's office at any time.  Any issues related to materials or documents in the supervisory file should be addressed at a supervisory level through the chain of command.
 
Personnel Files in the Office of Academic and Student Affairs
The Office of Academic and Student Affairs maintains personnel files for unclassified employees (faculty and unclassified staff) with documentation to support qualifications for the position held.  Files include official academic transcripts; letters of appointment, tenure, promotion; a copy of the hiring process for the position; letters of recommendation for employment; and other documentation indicating the employee has appropriate qualifications for the position held.
 
Employee Access to Personnel Files
 
An employee may examine their personnel files that are stored in Human Resources and Student Employment, during normal working hours, in the presence of a Human Resources and Student Employment designee.
 
Employees are notified prior to the release of information to an outside individual or agency unless the employee has previously signed an authorization to release the information in question.
 
Communication
 
This policy is distributed via the Academic Advisory Council, the Administrative Advisory Council, the University Listserv, the Student Listserv, and through routine communication between departments. 
 
Reference:
La Revised Statute 44.1 (et seq.)
State Civil Service-Public vs. Private Records
State Civil Service-Employee File