1. Purpose

   The purpose of this policy is to provide guidelines for storage, accessibility, and maintenance of personnel files for Employees of Wichita State University (University).

2. Policy

   Employment files for Employees are stored and maintained in a secure manner in Human Resources (HR).

3. Definitions

   • Employee – An individual who, when hired, provides services on a regular basis in exchange for compensation, receives a W-2, and who does not provide these services as a part of an independent business. For purposes of this policy, only active Employees – those who are currently employed at the University – are included.
   • Leadership – Individuals at the University who have Employees reporting to them, or are Department Chairs/Directors.
   • Reporting Relationship — A relationship, direct or indirect, in which one Employee reports to, has influence or decision-making authority over, or has the perception of influence or decision-making authority over, another Employee. This relationship may include, but is not limited to, influence or decision-making authority (perceived or otherwise) of salary decisions, performance management, employment, evaluating, or otherwise assessing employment performance.

4. Procedure

   1. Documentation related to the employment relationship between the University and the Employee is maintained in the Employment file. This includes, but is not limited to, documents related to benefits, compensation, formal coaching and corrective action, and position changes. The respective department provides documentation related to the employment relationship to HR to be maintained in the Employment file.
   2. The Employment file that is maintained in HR, is considered the official employment record, and is kept confidential.
   3. Employees should have knowledge of all documentation in their Employment file.
      1. Employees may review their Employment file during normal work hours in the presence of an HR representative.
      2. The HR representative may make copies of the information in the Employment file at the Employee’s request.
      3. Information may not be removed from the Employment file.
   4. Leadership may review information contained in the Employment file of an Employee who reports to them.
   5. Department files may be maintained in a secure manner in the office of the Employee’s Leader.
      1. The department file may include job performance notes, position descriptions, performance evaluations, and professional development of the Employee.
      2. Upon separation of an Employee, the department file is sent to HR to be combined with the Employment file.
   6. Faculty academic records are maintained in a secure manner in Academic Affairs.
      1. The faculty academic record may include, but is not limited to, academic transcripts, curriculum vitas, annual performance evaluation forms, research works and grant submissions, and tenure/promotion activity.
      2. Upon separation of an Employee, HR related material in the faculty academic record is copied and sent to be combined with the Employment file located in HR.
   7. Access to Employment files by an external party may be provided in response to a valid legal, public records, or law enforcement request.
   8. Employees should discuss concern with information or documentation in their Employment file with their respective Leadership and/or HR business partner. After discussion with Leadership and/or HR business partner, the Employee may be provided the opportunity to add documentation to the Employment file explaining the concern. Such requests will be reviewed on a case-by-case basis and decisions will be based on the particular facts and circumstances that exist.

5. Responsibilities

   1. Leadership

      1. Be knowledgeable of University policies and procedures.
      2. Communicate with Employee regarding information added to the Employment file.
      3. Send department and/or academic files to HR upon Employee separation.

   2. Employee

      1. Adhere to University policies and procedures.
      2. Communicate concerns regarding the Employment file to Leadership.

RELATED: 4.14 / Faculty Academic Records