||Other Working Conditions: Personnel Records
||Date of Present Issue:||
||Date of Previous Issues:
12/81, 03/87, 01/88
The Bullard-Plawecki Employee Right to Know Act, P.A. 397 of 1978, guarantees
employees the right of access to their own personnel records. It is the policy
of Lake Superior State University to uphold this right.
Upon written request by the employee, describing the personnel record, the
University will provide all employees with an opportunity to periodically review,
at reasonable intervals, their own personnel records. Requests must be submitted
to the Director of Employee Relations who will set a time for the review, in
the office where the record is kept. Bargaining unit members may request a
union representative to accompany them in this inspection. After review, an
employee may obtain a copy of all or part of the information in the record
on payment of the cost of duplicating the material. If the employee demonstrates
that he/she is unable to review the record in the office where it is maintained,
the University, upon the employee's written request, will mail a copy of the
record to the employee, at the employee's expense.
- Content of Personnel Records:
A personnel record is a record kept by the University which identifies
the individual employee, and has been, or may be used relative
to that employee's qualifications for employment, promotion, transfer,
additional compensation, or disciplinary action; and may include
employment contracts with the University, work records, absence
records, payroll and compensation records for that individual.
The personnel file may not include the following:
- employee references which would disclose the identity of the
person making the reference.
- materials relating to staff planning which include more than
- medical reports and records that would be available to the
employee from the doctor or hospital involved.
- information of a personal nature about any person other than
the employee which would constitute an invasion of the other
- information regarding an investigation by the University that
is kept separately from other records.
- records limited to grievance investigations which are kept
- records considered to be education records which are directly
related to a student.
- records kept in sole possession of an administrator which are
not accessible to, or shared with other persons. Records concerning
an occurrence or fact about an employee may be entered in the
personnel record if done so not more than six months after the
fact becomes known.
- Changing Content of Records:
Information which should have been included in the personnel record
but was unintentionally omitted may be included at the request
of the employee.
If there is a disagreement concerning information in a personnel
record, removal or correction of the information may be mutually
agreed upon by the University and the employee. If agreement is
not reached, the employee may submit a written statement explaining
his/her position which will become a part of the file along with
the original record in question.
If information which is false is knowingly placed in the personnel
record, the University or the employee shall have remedy through
legal action to have it expunged.
- Divulging Records:
The University will not divulge any written reprimand or record of disciplinary
action to a third party outside of the University or union representing
the employee, without prior written notice to the employee by first class
mail, unless 1) the employee has specifically waived written notice,
2) disclosure is ordered in a legal action or arbitration, or 3) is requested
by a government agency as a result of a claim or complaint by the employee.
A University official shall review and remove written reprimands or
records of disciplinary action which are more than four years old before
releasing the file to a third party, except when ordered to in a legal
action or arbitration. The University will not keep records of an employee's
associations, political activities, publications, or communications of
non-employment activities, except as authorized in writing by the employee,
unless these occur on University premises, during work hours, and interfere
with performance of the employee's duties or duties of other employees.
If the University has reason to believe an employee is engaged in criminal
activity which may affect the University's operations, the University
may conduct an investigation and keep a separate file on this information.
Upon completion of the investigation, or after two years, the employee
must be informed that the investigation was conducted. If no disciplinary
action is taken, the file and all copies must be destroyed.
- Location of and Access to Records:
- University personnel files are maintained for each employee in the
Office of Employee Relations. These files include: applications for
employment and required employment testing results, appointment letters,
payroll authorizations, Federal and Michigan W-4 tax withholding/exemption
certificates, applications for membership in retirement fund and other
group benefits, beneficiary designations, employee oath cards, approved
absence forms, patent agreements, annual benefit letters, letters of
commendation, evaluations, and disciplinary records. Files for academic
personnel also may include: correspondence concerning the employee's
original employment, transcripts, appointment letters and salary information,
committee appointments, additional educational credits and degrees,
requests from employees to add material such as publications and accomplishments,
change of status forms, promotion and sabbatical leave information,
and travel forms. Application to review a personnel file must be made
in advance, in writing, to the Director of Employee Relations.
- General personnel records may be kept by department heads or administrative
directors in the separate departments, relative to their staffing needs,
problems and planning, which include all employees under their supervision.
These may not be divulged to individual employees or to any third party
outside the University.
- Official University personnel files that are kept by the Employee
Relations Office will be maintained in a locked file room. Access of
University officials to individual files will be limited to personnel
working in the Employee Relations Office, and to others on a "need
to know" basis for purposes of promotion, transfer, discipline, salary
adjustment and other work related duties. A log will be kept in the
file room, in which those requiring access will indicate the name of
the employee whose file is reviewed, date, and purpose of reviewing
the file, and signature of the official reviewing the file. Numbered
pages of this log will be kept in a retention file. Employees may request
a list of those who have reviewed their personnel file and the purpose
of the reviews.