Human Resources Personnel Records

Policy number: 7.31

Policy section: Human Resources

Revised Date: January 2, 2019

1. Policy Statement

It is the policy of the University to maintain personnel records for current and past employees to document employment related issues and comply with government record keeping requirements.

2. Purpose

The purpose of this policy is to maintain complete and up-to-date personnel and benefits records for all current employees.

3. Applicability

This policy applies to all full-time and part-time employees.

4. Department Administrative Rules, Procedures, and Guidelines

The Department of Human Resources, under the purview of the Vice President for Business and Finance, has oversight and administrative responsibility for this policy and shall have the authority to promulgate departmental rules, procedures, and guidelines pursuant to this policy. Detailed eligibility and administrative rules, procedures and guidelines can be found in Appendix A below and on the Human Resources website.

5. Questions

Questions regarding this policy should be directed to the Department of Human Resources at hradmin@smu.edu.

Appendix A: Personnel Records Custodian and Limitations on Access

Personnel Records Custodian

  1. The Department of Human Resources, under the purview of the Vice President-Business and Finance, is the official custodian of University personnel records and has sole responsibility for records management.
  2. As Custodian, the Department of Human Resources is responsible for maintaining the personnel master data file and management information system. Individual faculty and staff are responsible for notifying the Department of Human Resources in a timely manner when changes occur. Files of current employees are presently maintained for an indefinite period. The University reserves the right to discard files of former employees after seven years.

Limited Access to Personnel Records

  1. The Department of Human Resources will release only the dates of employment, job title, and department name and location when persons outside the University request employment verification. The employee must provide a signed written release form to the Department of Human Resources for additional information to be released to those outside the University.
  2. The employee, the employee's supervisor, Department of Human Resources personnel, and appropriate University officials who have a legitimate work need will be provided access to individual employee files, in accordance with applicable law.
  3. No other individuals are permitted to review employee files without written permission from the employee, unless records are requested by subpoena or Court order.
  4. Any employee medical information will be maintained in separate, confidential medical files, apart from regular personnel records. Only authorized employees may have access to such medical files. "Medical information" is any information, data, or documentation relating to an employee's mental or physical condition. The term includes, but is not limited to, oral, written, or digital information concerning an employee's mental or physical condition; medical records; dental records; disability records; workers' compensation records; medical leave records; genetic information; health insurance information; and/or information concerning visits or payments to any health care professional, hospital, emergency room, or other type of short- or long-term health care facility.

Revised: January 2, 2019

Adopted: June 1, 1994

The official University Policy Manual is housed in the Office of the University Secretary. The University Secretary is responsible for maintaining new and updated policies and for maintaining this website. Should the official University Policy Manual conflict with any internal policies, procedures, departmental administrative rules, or guidelines, that may be contained in manuals provided by schools, departments, or divisions within the University, the official University Policy Manual controls.