Policy 07.02 Personnel Records

POLICY TITLE:	Personnel Records
POLICY NUMBER:	07.02
VERSION:	2.0
REVISED DATE:	April 17, 2018
REVIEWED DATE:	March 13, 2018
APPROVAL DATE:	March 22, 2018
EFFECTIVE DATE:	April 2, 2018
NUMBER OF PAGES:	6

1. Description and Purpose This policy provides guidance to all employees about their privileges and obligations with respect to their own personnel files, and guides City of Saint Paul (City) personnel responsible for producing and maintaining personnel files and the appropriate handling of those files.

2. Applicability This policy applies to all City employees, hereinafter referred to as Personnel.

3. Failure to Comply Failure to comply with this policy may result in disciplinary action in accordance with any and all disciplinary policies of the City.

a. Documents and information shall be kept confidential, in a locked cabinet or secured area and not open to public inspection except as specifically provided by a local, state or federal statute or regulation, or by a court with jurisdiction.

b. An employee does have a right to examine their own personnel file and may properly authorize others to examine their file.

c. A personnel file may also be characterized as an ‘employee file’, ‘performance file’ or ‘medical file’.

d. The non-medical file, medical personnel records, and personnel complaints shall be maintained separately and not be combined together as one record.

e. At no time is in permissible for a supervisor or manager to maintain employee medical files or records.

f. Personnel files shall be kept in a multipart folder that is clearly labeled with

2. Contents of Personnel Files Only job-related information will be contained in the personnel file. Non-medical, medical, and employee complaint files will be kept in a lock file cabinet in the Administration Department in a multi-part folder. Payroll files will be kept in a lock file cabinet in the Finance Department.

i. Section 1

a) Application for Employment

b) Resume/Curriculum Vitae

c) Background and Other Pre-Employment Check Documents

d) Job Descriptions

e) Receipt and Acknowledgement Forms (for Employee Handbooks, Policies and Procedures, etc.)

f) Other Documents Associate with Applicant and Hire

ii. Section 2

a) General Status/Payroll Change Forms

b) Resignation Letters/Notices

c) Layoff Notices/Documents

d) Nepotism Waivers/Documents

iii. Section 3

a) Performance Evaluations

iv. Section 4

a) Disciplinary Actions

v. Section 5

a) Educational Documents (i.e. diplomas, certificates, transcripts, etc.)

b) Training Documents (i.e. certifications,

c) Commendations

d) Awards

e) Other Documents Associated with the Employee’s Achievements.

vi. Section 6

a) Other Documents

i. Insurance Documents

ii. Workers’ Compensation Forms

iii. Workers’ Compensation Correspondence/Reports

iv. Medical/Physician Reports, Notes and Letters

v. Certification of Health Provider Forms

vi. Pre-Employment, Post-Accident, Drug and Alcohol Test Results

vii. Medical History Information

viii. Leave Documents

i. Complaint Forms

ii. Record of Decision

iii. Status/Payroll Change Notice

iv. IRS W-4 Form

v. I-9 Form

vi. Payroll Documents

vii. 11400 Account Documents

a. All employment-related and personal information in an employee’s personnel file not specified under “Records Open for Inspection” is confidential.

b. A current or former employee or an applicant for employment has the right to examine their own personnel file and may request another person be granted access to their file. All requests for access to personnel information from any person or agency, except the subject employee or the employee’s supervisors should be referred to the Administration or Finance Department depending on the documents sought.

c. The Administration or Finance Department will have three (3) business days to respond to the request.

a) the names and position titles of all City employees;

b) the position held by the employee;

c) prior positions held by the employee;

d) the dates of appointment and separation of the employee.

a. The records open for inspection listed above shall be made available upon written request for inspection and examination and copies thereof made by any persons during regular business hours, subject to the following provisions:

i. All disclosures of records shall be accounted for by keeping a written record of the following information and must be retained for a period of two (2) years:

a) Name of employee

b) Information disclosed

c) Date information was requested

d) Name and address of the person to whom the disclosure is made.

ii. Upon Request, the record of disclosure shall be made available to the employee to whom it pertains.

a. Employees responsible for maintaining personnel records and files should permit access to those records only in accordance with the requirements in this section unless they receive special instructions from their supervisor.

b. Individuals requesting access to confidential information must submit a written request and will be required to submit proof of identity.

c. A record shall be made of each disclosure (except disclosures to the employee and his or her supervisor) and the record shall be placed in the employee’s personnel file.

d. All information in an employee’s personnel file shall be open for examinations to the following persons:

i. The supervisor of the employee: for this purpose, supervisor is any individual in the chain of administrative authority above the employee within the City.

ii. A court order or subpoena.

a) Personnel records released under this subsection must comply with the privacy requirements of state and federal law and/or applicable regulation. Care must be taken to ensure record(s) release fully complies with but does not exceed the stated requirements of the court order or subpoena.

b) Unless specifically barred from doing so by the court order or subpoena, the Human Resource official will make reasonable effort to provide a current or former employee named in a court order or subpoena with a general description of the record(s) that was released and the date of the release.

c) The Human Resource official will maintain a copy of the court order or subpoena and will document the date the record(s) was released.

iii. The employee (or his/her authorized agent), applicant for employment, or former employee who is subject of a personnel record may have access to the personnel file in its entirety, except for confidential letters of recommendation solicited prior to employment and certain medical records.

a) Confidential letters of recommendation include notes from telephone reference checks and statements form other individuals solicited prior to the initial date of employment.

b) Information concerning a medical disability, mental or physical, that a prudent physician would not divulge to a patient are not available to the employee. The medical record may be disclosed to a licensed physician designated in writing by the employee. When medical information is obtained on any employee, the physician should indicate any information that should not be disclosed to the employee.

a. Information and documents not relevant to personnel should not be retained in the personnel file.

a. A current employee, former employee or applicant for a staff position who wishes to inspect his/her file should make a request to the City Clerk in writing by completing a Personnel File Copy/Inspection Request Form.

b. Employees responsible for maintaining personnel files will review the personnel file for the presence of confidential recommendations and medical records before permitting any employee access to his or her personnel file.

c. The City Clerk or designee will schedule a date and time for the individual to inspect his personnel file.

a. Internal access to personnel files is limited to supervisory personnel who are considering the employee for promotion, transfer, accommodations, disciplinary action or other personnel action and to other officials who have legitimate need to know.

b. All other requests will be treated as requests for public records.

a. Personnel Documents Non-medical record forms and documents shall be submitted to Human Resources under secure cover and marked ‘confidential’. Ordinarily, documents placed in the personnel file will be an original unless a copied document is determined to be appropriate. Documents determined as inappropriate for placement will be returned to the submitter.

b. Medical Documents Medical record forms and documents shall be submitted to Human Resources under secure cover and marked ‘confidential’. Ordinarily, documents placed in the personnel file will be an original unless a copied document is determined to be appropriate. Documents determined as inappropriate for placement will be returned to the submitter.

a. Employees who question the accuracy or completeness of information in their files should discuss their concerns with the City Manager.

b. The City Manager will consider the objections and remove erroneous information.

c. Should the disputed information be retained in the file, the employee may submit a brief written statement identifying the alleged errors or inaccuracies. The statement will remain in the file as long as the disputed information is retained.

a. Personnel files and records should be retained in accordance with the City’s Records Retention Policy Number 08.03.

1. Personnel File Copy/Inspection Request Form

1. Records Retention Policy Number 08.03.

1. Personnel File – A personnel file consists of any employment-related or personal information about City personnel or former employees.

2. Personnel Record – A document within a personnel file.

1. This policy replaces Section 11.01.03 in the City Code of Ordinances (CCO).