8320 - PERSONNEL RECORDS
Maintaining accurate personnel records is critical to effective human resource management and to the District satisfying its legal obligations. In addition, such records frequently contain confidential information that must be managed appropriately. Accordingly, the District has developed the following administrative guideline relating to personnel records.
Location and Maintenance – Personnel File, Payroll File, I-9 File, and Medical File
The District Records Custodian (DRC) will maintain a personnel file, a payroll file, an I-9 file, and a medical file for each employee. The files will be maintained in separate, secure locations. Supervisors and other administrators should forward all personnel records, I-9 records, payroll records, and medical records to the DRC to ensure that they are properly filed and maintained. Supervisors and other administrators should not maintain files containing an employee’s personnel records, payroll records, I-9 records, or medical records. Further, neither the Board nor any individual employed by the Board shall access an employee’s personnel records except for legitimate business purposes. Any individual who reviews personnel records will sign and date a log, which shall be kept in a secure location.
Personnel File Records
An employee’s personnel file will contain the following records (if applicable):
completed employment records
offer letter
acceptance letter
emergency contact information
written requests to review the personnel file
letters of commendation
academic or other achievement records
training records
records relating to final disciplinary actions (e.g., written warning for excessive absenteeism)
leave request forms and supporting documentation; provided, however, that all such documents should have all medical information removed
grade transcript(s)
current name, address, and telephone number
an accurate record of work experience
proof of fulfillment of requirements for change in salary classification
current information pertaining to certificates required by the State
record of assignments
proof of discharge from military service
rate of compensation
completed evaluations
special awards or distinctions
Payroll File Records
An employee's payroll file will contain the following records (if applicable):
W-4 forms
direct deposit authorization
consent to payroll deductions
beneficiary designation forms
retirement registration
life and disability insurance forms, without medical information
completed annuity forms
garnishment actions served on the District
Medical File Records
An employee’s medical file will contain the following records (if applicable):
Medical records, notes, or other documents containing medical information including, but not limited to, records containing physical limitations.
Medical records relating to leaves of absence for medical reasons, including, but not limited to, Family and Medical Leave Act leave and sick leave, (e.g., medical certification forms, requests for leave, and fitness for duty statements).
Workers’ compensation records and supporting documentation including, without limitation, physician notes relating to an employee’s ability to return-to-work and an employee’s physical limitations.
All occupational exposure and medical records that the District is required to maintain under the Occupational Safety and Health Act.
Requests to review the medical file.
I-9 File Records
The I-9 file will contain records required by the Immigration Reform and Control Act of 1986 including, but not limited to, the properly completed form I-9 and, if copies of verification documents presented by employees are retained for all employees, clear and legible copies should be retained with each employee's I-9, as well as any form corrections, rehire forms, or reverification forms.
Other Personnel Records
The District will maintain the following personnel records (if applicable) in separate, secure files:
criminal conviction history requests and reports;
employee assistance program records;
employee relations complaints including, for example, discrimination complaints;
investigative and deliberative records relating to employee relations matters;
privileged and confidential communications including, but not limited to, attorney-client communications.
Third-Party Access to Personnel Records – Confidentiality
It is the District’s policy to respect individual privacy and to maintain in confidence all information and records pertaining to employees to the extent practicable in keeping with the District’s interest. Information in an employee’s personnel file, medical file, I-9 file, and all other employment-related files will not be disclosed to any third party without an employee’s written consent, except to meet the legitimate business needs of the District or as required by law (e.g., subpoena or public record request).
Address Confidentiality Program
Employees who are verified participants in the “Safe at Home” Wisconsin Department of Justice Address Confidentiality Program shall be permitted to use their substitute assigned address for all District purposes. The Board shall only list the address designated by the Wisconsin Department of Justice to serve as the employee's address in any personnel records, personnel files, or staff directories. Further, the Board shall use the employee's substitute assigned address for any and all communications and correspondence between the Board and the employee. The employee's actual/confidential residential address shall be maintained in a separate confidential file that is not accessible to the public or any employees without a legitimate purpose. The intentional disclosure of an employee's actual/confidential residential address is prohibited.
Access to Personnel Documents, Employee and Designated Representative
- Covered Documents
Upon the written request of an employee or former employee (the "employee"), the District shall permit the employee to inspect any personnel documents which are used or which have been used in determining that employee’s qualifications for employment, promotion, transfer, additional compensation, termination or other disciplinary action, and medical records. Provided, however, that the employee has no right to inspect the following:
- records relating to the investigation of possible criminal offenses committed by that employee;
- letters of reference for that employee;
- any portion of a test document, except that the employee may see a cumulative total test score for either a section of the test document or for the entire test document;
- materials used by the District for staff management planning, including judgments or recommendations concerning future salary increases and other wage treatments, management bonus plans, promotions and job assignments, or other comments or ratings used for the District’s planning purposes;
- information of a personal nature about a person other than the employee if disclosure of the information would constitute a clearly unwarranted invasion of the other person’s privacy;
- records relevant to any other pending claim between the District and the employee which may be discovered in a judicial proceeding;
- medical records that the District believes would have a detrimental effect on the employee.
In this instance, the District may release the medical records to the employee’s physician or through a physician designated by the employee, in which case the physician may release the medical records to the employee or to the employee’s immediate family.
- Request and Review Procedure
Unless modified or suspended by State law, the following procedures shall apply to employee requests to inspect the employee's own personnel file. The District shall grant at least two (2) requests by an employee in a calendar year to inspect the employee’s records as provided in this guideline.
The District shall provide the employee with the opportunity to inspect the employee’s records within seven (7) working days after the employee makes the request for inspection. If a request is made orally, the requestor shall be required to submit a written request. The inspection shall take place at a location reasonably near the employee’s place of employment and during normal working hours. If the inspection during normal working hours would require an employee to take time off from work, the District may provide some other reasonable time for the inspection. In any case, the District may allow the inspection to take place at a time other than working hours or at a place other than where the records are maintained if that time or place would be more convenient for the employee. The records will be reviewed in the presence of the DRC or a designee.
The employee shall not make any alterations or additions to the record nor remove any material from the record. A copy of the employee’s request to review personnel records shall be filed in the employee’s personnel file. - Designated Representative
An employee may designate a representative to inspect the employee’s personnel records. The designation shall be in writing. The District shall allow such a designated representative to inspect that employee’s personnel records in the same manner as the employee is permitted to inspect them under this guideline. - Copy Charges
The District may charge employees who wish to copy or receive a copy of records at a reasonable fee for providing copies, which may not exceed the actual cost or reproduction.
Personnel Record Correction
If an employee disagrees with any information contained in the personnel records, a removal or correction of that information may be mutually agreed upon by the District and employee. If an agreement cannot be reached, the employee may submit a written statement explaining the employee’s position. The District shall attach the employee’s statement to the disputed portion of the personnel record. The employee’s statement shall be included whenever that disputed portion of the personnel record is released to a third party as long as the disputed record is a part of the file.
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