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Personnel Records and Information Disclosure

From Appalachian State University Policy Manual

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Policy 602.7

1 Introduction

2 Scope

3 Definitions

4 Policy and Procedure Statements

4.1 Personnel File

4.1.1 A personnel file consists of any employment-related or personal information gathered by an employer, the Retirement Systems Division of the Department of State Treasurer, or by the Office of State Human Resources. Employment-related information contained in a personnel file includes information related to an individual's application, selection, promotion, demotion, transfer, leave, salary, contract for employment, benefits, suspension, performance evaluation, disciplinary actions, and termination. Personal information contained in a personnel file includes an individual's home address, social security number, medical history, personal financial data, marital status, dependents, and beneficiaries.

4.1.2 Most employment-related information in a personnel file is confidential, and not open for inspection and examination except to the following persons:

  1. The employee, applicant for employment, former employee, or his properly authorized agent, who may examine his own personnel file in its entirety except for (i) letters of reference solicited prior to employment, or (ii) information concerning a medical disability, mental or physical, that a prudent physician would not divulge to a patient. An employee's medical record may be disclosed to a licensed physician designated in writing by the employee;
  2. The supervisor of the employee;
  3. Members of the General Assembly who may inspect and examine personnel records under the authority of G.S. 120-19;
  4. A party by authority of a proper court order may inspect and examine a particular confidential portion of a State employee's personnel file; and
  5. An official of an agency of the federal government, State government or any political subdivision thereof. Such an official may inspect any personnel records when such inspection is deemed by the department head of the employee whose record is to be inspected or, in the case of an applicant for employment or a former employee, by the department head of the agency in which the record is maintained as necessary and essential to the pursuance of a proper function of said agency; provided, however, that such information shall not be divulged for purposes of assisting in a criminal prosecution, nor for purposes of assisting in a tax investigation.


4.1.3 However, the university is required to maintain separate records of the following information, and to provide copies to any person upon request:

  1. Name.
  2. Age.
  3. Date of original employment or appointment to State service.
  4. The terms of any contract by which the employee is employed whether written or oral, past and current, to the extent that the agency has the written contract or a record of the oral contract in its possession.
  5. Current position.
  6. Title.
  7. Current salary.
  8. Date and amount of each increase or decrease in salary with that department, agency, institution, commission, or bureau.
  9. Date and type of each promotion, demotion, transfer, suspension, separation, or other change in position classification with that department, agency, institution, commission, or bureau.
  10. Date and general description of the reasons for each promotion with that department, agency, institution, commission, or bureau.
  11. Date and type of each dismissal, suspension, or demotion for disciplinary reasons taken by the department, agency, institution, commission, or bureau. If the disciplinary action was a dismissal, a copy of the written notice of the final decision of the head of the department setting forth the specific acts or omissions that are the basis of the dismissal.
  12. The office or station to which the employee is currently assigned.

5 Additional References

6 Authority

7 Contact Information

8 Effective Date

9 Revision Dates