UTMB HANDBOOK OF OPERATING PROCEDURES

Section 3 Human Resources Policies Subject 3.1 General Policy 3.1.2 Employee Files

05/11/99 -Originated 09/07/04 -Reviewed w/ changes -Reviewed w/o changes Human Resources -Author

Employee Files

Audience

The information in this document applies to all non-faculty UTMB employees.

Policy

Employee files will be maintained at the departmental and institutional levels in accordance with the information in this document. The Employee Records Office is responsible for maintaining the institutional employee file on all employees. Departments are responsible for initiating and maintaining files for employees to promote consistency of employee files across all UTMB departments. Within 30 days of employment, each department shall initiate the employee’s departmental file. Neither the departmental employee files nor the institutional employee files may retain personal medical information with the exception of the Employee Health Clearance. It is the department’s responsibility to assure that employee files are located in a secure environment to which only authorized staff members have access. Nothing shall be filed in the employee's file that the employee does not expect to see or that has not been discussed with the employee.

Contents of Institutional Employee Files

The following original documents, as applicable, shall be permanently kept in the institutional employee file. • Application/Résumé/Online Profile with signature page • Transfer Request(s) (only those which resulted in hiring) • Counseling & Discipline Records (excluding verbal disciplinary documentation) • Employment Eligibility Verification (Form I-9) • Employment Verification • Federal Certificate of Age (Minors 16-18) • Insurance Coverage Notification • Letters of Recommendation/References • Optional Retirement

Contents of Institutional Employee Files (cont'd)

• Performance Appraisals • Re-evaluation Forms/Action Plans • New Employee Orientation Information • Standards and Regulations for University Employment • Information Survey • Notice of Resignation • W-4 • Survey of Public Information • Pre-employment Test Results • Training Certifications • Certificates/Licenses (copies allowed if originals required for posting in work area) • Transcripts Other information may be maintained if required by law or regulatory agencies.

Contents of Departmental Employee Files

Departments shall arrange their departmental employee file as listed below and shall categorize the files according to the subject headings. Original documents should be sent to the institutional employee file, but, as applicable, departmental employee files shall include as a minimum copies of the following: PERFORMANCE • Application, Résumé, or Transfer Request • Signed Job Description or Verification of Receipt of Job Description with Unit/Position Addendum • Performance Appraisal • • Action Plan (if applicable)• Evaluation of Age/Population Specific Competencies (if applicable) • Disciplinary Action Documentation ORIENTATION • Checklist for Orientation/competency Assessment • Initial Age Specific Checklist (if applicable) EDUCATION/TRAINING Verification of any training required for the specific position should be included. In most cases these minimum classes will be required for

Contents of Departmental Employee Files (cont'd)	all clinical areas: • Team Training • Basic Cardiac Life Support (BCLS) Verification • Universal Precautions • Infection Control Verification • EH&S: Fire, Electrical, Radiation, Hazard Chemical Compliance and Sexual Harassment Training will be required for all UTMB employees. PROFESSIONAL CREDENTIALS • License Verification • Certificate Verification OTHER PERSONNEL INFORMATION • Family Medical Leave Act -- excluding employee medical information. Any medical information retained by departments must be kept separate from employment files • Workers Compensation Insurance Forms • Emergency Preparedness Form • TB Screening Verification
Retention of Departmental Documents	Documents shall be kept in departmental employee files for a minimum of five years in accordance with the established records retention schedule. All documents over five years old may be discarded from the departmental employee file with the exception of the application/resume and orientation information.
Interdepart-mental Transfers	When an employee transfers from one department to another, the exiting department shall forward the entire employee file to the receiving department within two weeks.

Separation from UTMB

The entire employee departmental file shall be forwarded to Employee Records within 120 days after an employee’s separation date. • This file shall be maintained for a period of five years. • Departments may maintain copies of any documentation that they desire for reference purposes. • After five years, any documentation not included in the Contents of Institutional Employee Files section of this document and not required by law shall be discarded.

References

3.9.10 Family and Medical Leave