1. Ensure that only the following personnel documents are a part of the local office personnel file. If any of these documents contains a SSN, the SSN should be blocked out. Note: This is not a list of required documents for the local office employee personnel file, but a list of acceptable documents for the file.

   • NDE Personnel Request
   • NDE Position Description
   • State of Nebraska Application
   • Resume
   • Transcript (Check for SSN in older transcripts)
   • NDE Personnel Correspondence

     • New Hire Letter
     • Appointment to Permanent Status Letter
     • Promotion Letter
     • Horizontal Wage Progression Letter (only if granted)
     • Merit Stipend Letter (only if granted)
     • FMLA Designation Letter
     • Layoff or Transfer Letter

   • Performance Appraisals
   • College Course Work Request Form
   • Supervisory Referral to EAP
   • Authorization to Release Information From/To Best Care EAP
   • Leave Advance Request Form
   • Vacation Carryover Request Form
   • NDE Report of Alleged Occupational Injury/Illness Form
   • NDE Work Schedule Form
   • Relevant correspondence between the Office Director and employee
   • VR Training Request Form

2. Ensure that the following documents are not placed in a local office employee personnel file. These are typically documents containing personally identifying information such as social security numbers, dates of birth, or checking/savings account and routing numbers. Remove these documents from local office employee personnel files if the documents are presently included. Have the employee review the documents, then shred any documents the employee does not want in their possession.

   • Insurance enrollment and benefits change forms. The employee may keep copies of these forms and is responsible for their safekeeping.
   • W-4
   • I-9
   • Employee Roster
   • Direct Deposit Forms
   • Copies of checks/deposit slips
   • Savings Bond Enrollment Forms
   • NEIS Position Assignment Forms
   • Old State, NDE or VR forms with no current relevance. (Example: NEIS Position Assignment Forms, Old employee checklists with serial number of equipment no longer around (dictaphone), or obsolete telephone credit card, etc.)

Purpose

The purpose of this chapter is to provide guidance to local offices with respect to the unofficial local office personnel file and to ensure that appropriate measures are taken to protect personal and personally identifying information.

Policy

The official employee personnel file is maintained by NDE-HR.

There is no requirement to maintain a local office employee personnel file; however, having a file by employee with copies of personnel documents routinely provided to Office Directors is reasonable.

Local office employee personnel files are to be secured in a locked file cabinet.

Access is limited to the Office Director, and his or her designee.

An employee has the right to view their official and unofficial personnel files.

The following personal and personally identifying information should not be retained in the local office employee personnel file.

• Social Security Numbers of employee, or the employee’s family members.
• Date of birth of the employee, or the employee’s family members.
• Account and routing numbers for checking and savings accounts of the employee, or the employee’s family members.

The local office employee personnel file should be shredded with 30 days following an employee’s retirement or termination.