UMGC Policy on Employee Files for Staff and Faculty Employees

(Approved by USM BOR on April 21, 2017; UMGC President on July 1, 2017)

1. Purpose and Applicability

   This policy establishes responsibility for maintenance, access and control of employee files for all University of Maryland Global Campus (UMGC) Nonexempt, Exempt and Overseas Staff on Regular and Contingent Status and Faculty employees. Nonexempt Staff employees who are included in the representation of the collective bargaining unit are subject to the Memorandum of Understanding (MOU) and applicable UMGC HR Policies; where there is a conflict between the two, the MOU will prevail.

2. Definitions

   Employee File: A confidential business record and property of the Institution that employs the employee. The file, in electronic or paper format, consists of personal demographics and information relating to the individual's employment.

3. Contents of an Employee File
   1. Employee files include but are not limited to the following:
      1. Employment application and/or resume;
      2. College transcripts;
      3.  Job descriptions;
      4. Records relating to hiring, promotion, demotion, transfer, reassignment, layoff, compensation, education and training;
      5. Letters of recognition;
      6. Disciplinary documents;
      7. Performance evaluations;
      8. Retirement Plan documents; and
      9. Documents relating to separation from employment.
   2. Medical Records shall be maintained in a separate file and are not part of an employee file as mandated by HIPAA regulations.
   3. Investigatory files related to Equal Employment Opportunity, Title IX and other investigatory matters shall be maintained in a separate file and are not part of an employee file. A record of any disciplinary action taken as a result of information learned during an investigation, however, shall be included in the employee file.
4. General
   1. Confidentiality. All employee files are confidential and are to be secured accordingly. Anyone handling employee files, whether legal or supervisory personnel, shall maintain confidentiality of the material at all times, including during the course of file transmission electronically or via facsimile or mail. Confidentiality of records contained in an employee's file may be waived by an employee who files a grievance, charge with an administrative agency and/or legal action with a court. UMGC may also be required to disclose employee files in response to a lawfully issued subpoena or request by a governmental agency.
   2. Responsibilities of the Office of Human Resources
      Employee files are secured in the Divisional Office of Human Resources at UMGC, or location designated by the CHRO.
      1. All records to be included in employee files are prepared by or delivered directly to the Office of Human Resources.
      2. All filing, removal, re-filing and/or processing of data electronically of employee records is to be accomplished only by the Human Resources Staff.
      3. Records may not be removed from the Office of Human Resources except by authorization from the CHRO or designee.
   3. Retention of Files
      UMGC shall follow the record retention schedule set forth in UMGC policy or as prescribed by law.

5. Verification of Employment

   All requests for verification of employment for current or former employees are to be directed to the Office of Human Resources. 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 Office of Human Resources is in receipt of a written release signed by the employee, court order, or subpoena.

6. Access to Employee Files
   1. Persons with Authorized Access
      The following persons have authorized access to individual employee files:
      1. The CHRO 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, UMGC, Legislative auditors);
      5. Individuals who have requested records pursuant to a lawfully issued subpoena; and
      6. An authorized agent for an employee who has written authorization signed by the employee for access to or disclosure of a confidential employee record.
   2. Employee Access
      Employees shall have access to their own files and medical records during regular business hours and upon such reasonable prior notice as the Office Human Resources may require.
      1. All files shall be reviewed in the presence of the CHRO or designee.
      2. At the time of such review, the CHRO or designee may require the employee to initial and date all records in his/her file(s).
      3. An employee who objects to information in his/her file may place a statement to that effect in the file.

Implementation Procedures

The UMGC President has designated the Chief Human Resources Officer (CHRO) to administer this policy; to develop procedures as necessary to implement this policy; to communicate this policy to the UMGC community; and to post the policy and any applicable procedures on the UMGC website.

Replacement for:

• USM BOR VII-6.02: Policy on Employee Files for Nonexempt and Exempt Staff Employees
• UMGC OS 31.00: Policy on Personnel Files