Vii602 - USM

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VII 6.02 - USM POLICY ON PERSONNEL FILES FOR NONEXEMPT AND
       EXEMPT STAFF EMPLOYEES

(Approved by the USM Board of Regents on July 13, 2001)

I.   PURPOSE AND APPLICABILITY
     
     This policy establishes responsibility for maintenance, access and
     control of personnel files for all Nonexempt and Exempt Staff
     employees.

II.  DEFINITIONS
     
     Personnel File - A confidential business record and property of the
     institution that employs the Staff employee.  The file, in
     electronic or paper format, consists of personal demographics and
     information relating to the individual's employment.

III  GENERAL

     A. All personnel files are confidential and are to be secured
       accordingly.  Anyone handling personnel files shall maintain
       confidentiality of the material at all times.  This includes while the
       material is being transmitted electronically, via FAX or mail.
     
     B. To maintain confidentiality, personnel files are secured in the
       Human Resources Department at each institution, or location designated by
       the Director of Human Resources.  All records to be included in personnel
       files are prepared by or delivered directly to the Human Resources
       Department.  All filing, removal, re-filing and/or processing of data
       electronically of personnel records is to be accomplished only by the
       Human Resources staff.

     C. Records may not be removed from the Human Resources Department
       except by authorization from the Director of Human Resources or designee.

     D. All requests for verification of employment for current or former
       employees are to be directed to the Director of Human Resources or
       designee.  Non-confidential information such as dates of employment,
       position(s) held, and current salary may be released on request.
       Confidential information shall not be released unless the Human Resources
       Department is in receipt of a written release signed by the employee,
       court order, or subpoena.

     E.   The following persons have authorized access to individual personnel
          files:
     
       1.   The Director of Human Resources or designee
       2.   The Employee
       3.   The employee's current supervisor or any individual within the
            organizational unit who is in the chain of authority above the employee
            or legal counsel to such person in that capacity.
       4.   Auditors (USM, Institution, Legislative auditors)
       5.   An authorized agent for an employee who has written authorization
            signed by the employee for access to or disclosure of a confidential
            personnel record.

     F. Employees shall have access to their own personnel files and medical
       records during regular business hours and upon such reasonable prior
       notice as the Human Resources Department may require.  All files shall be
       reviewed in the presence of the Director of Human Resources or designee.
       At the time of such review, the Director of Human Resources or designee
       may require the employee to initial and date all records in her/his
       file(s).  Employees who request copies of materials from their file(s)
       may be charged a scheduled fee.
     
     G. An employee who objects to information in her/his personnel file may
       place a statement to that effect in the file.

     H. Personnel files include but are not limited to the following:
       �    Employment application and/or resume.
       �    College transcripts.
       �    Job descriptions.
       �    Records relating to hiring, promotion, demotion, transfer,
            reassignment, layoff, compensation, education and training.
       �    Letters of recognition.
       �    Disciplinary documents.
       �    Performance evaluations.
       �    Documents relating to separation from employment.
     
     I. Medical Records shall be maintained in a separate file.

     J. Institutions shall follow the Retention Schedule prescribed by law.

IMPLEMENTATION PROCEDURES:

Each Chief Executive Officer shall identify his/her designee(s), if
appropriate, for this policy; shall develop procedures as necessary to
implement this policy; shall communicate this policy and applicable
procedures to his/her institutional community; and shall forward a copy
of the procedures to the Chancellor.
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