	Human Resources Management

Introduction

Administration and Management

Service Delivery Administration Standards

Service Standards

HR 7: Personnel Records

The organization maintains personnel records.

Interpretation: The organization is not required to maintain personnel records for short-term or episodic volunteers who support the organization through administrative, clerical, fundraising, or other functions.

Note: Please see Checklist: Personnel Records and Tip Sheet: Retention of Employment Records in the Tools Index for additional assistance with this standard.

HR 7.01

Personnel records are updated regularly, and contain:

identifying information and emergency contacts;
application for employment, hiring documents including job postings and interview notes, and reference verification;
job description;
compensation documentation, as appropriate;
pre-service and in-service training records; and
performance reviews and all documentation relating to performance, including disciplinary actions and termination summaries, if applicable.

Interpretation: An organization may maintain records in separate files according to its own record keeping system. The organization complies with this standard as long as all required information is maintained systematically and in a manner that complies with federal and state laws regarding the required contents of personnel files and confidentiality.

In addition, EAP and health records, including health benefits enrollment forms, grievance, complaint, and response documents, and EEOC-related records, must be kept separately from other personnel records.

Note: Network Management entities see HR 7.06.

HR 7.02

Personnel records contain health information or reports for annual physical examinations, appropriate to the job position or when required by law.

NA The organization does not employ persons in positions where health information or physical examinations are appropriate or required by law.

HR 7.03

Access to personnel records is limited to authorized personnel on a need-to-know basis.

HR 7.04

Personnel may review, add, and correct information contained in their records, in accordance with applicable law.

HR 7.05

Personnel who leave the organization voluntarily have the opportunity to participate in an exit interview.

Interpretation: This interview enables personnel to address administrative issues related to the transition, as well as to provide feedback on the organization’s strengths and weaknesses.

HR 7.06

The network maintains a record for independent providers that contain:

identifying and contact information;
documentation related to the network's credentialing process;
documentation of quality monitoring of practitioner performance;
documentation of relevant training; and
performance reviews and all documentation relating to performance, including disciplinary actions and termination summaries, if applicable.

NA The organization is not a network management entity.

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	PURPOSE: A stable, qualified workforce contributes effectively and efficiently to consumer satisfaction and positive service delivery results.

RELATED FILES


	CONSUMER The individual, family, group, or community that seeks or receives services.


	SERVICE One or more organization-operated programs or activities that have a common general objective and deploy the organization's material and human resources in a planned and systematic manner. An organization that publicly promotes or identifies itself in writing as offering a service, is licensed to deliver a service, assigns personnel and/or space to a service, or allocates financial resources to a service is considered to offer that service.


	PERSONNEL The body of employees and/or volunteers that carries out the organization's tasks under the organization's administration and/or supervision. This definition does not include foster parents who are specifically referenced in relevant standards


	VOLUNTEER An individual who performs services for an organization for civic, charitable, or humanitarian reasons, without promise, expectation, or receipt of compensation for services rendered. Such service must be offered freely and without pressure or coercion, direct or implied, from an employer. If the individual is otherwise employed by the same employer for which s/he volunteers, the individual cannot volunteer to perform the same type of services that s/he is paid to perform as an employee.


	CONFIDENTIALITY An ethical and practice principle that requires the protection of information shared within a professional-client relationship. An organization that upholds confidentiality prohibits personnel from disclosing information about persons served without their written consent.


	COMPLAINT An expression of verbal or written dissatisfaction that can include, but is not limited to, services, manner of treatment, outcomes, or experiences. For employees or volunteers, dissatisfaction can include personnel matters such as supervision, evaluations, promotions or demotions, the work environment, and overall treatment. The term is synonymously used with GRIEVANCE.


	GRIEVANCE See COMPLAINT


	MANAGEMENT See ADMINISTRATION