Legal Name and Legal Sex on Employee Documents

Many systems used by the Office of Human Resources to provide tax documentation, employee benefits, and employee pay use the employee’s name and sex that aligns with state-issued ID documents (a “legal name” and a “legal sex”) due to federal compliance and insurance claims processing needs. Some other University programs have a space to provide preferred name(s), pronouns, and/or gender.  

If you are receiving communications from the University itself that use pronouns or a name you do not identify with, you may update that information anytime in MyU in the “My Info” section. 


If you would like support from the Transgender Advisory and Action Team (TAAT) in contacting the respective department or unit about incorrect pronouns or name use, please email UMN-TAAT@umn.edu.

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Purpose

This page is intended to provide current information about which human resources functions require the use of legal names and/or legal sex, and which functions have the option of using a preferred name and/or gender (in place of legal sex). 

When compliance requirements do not require legal name or legal sex, the Office of Human Resources will make every best effort to reference a preferred name, personal pronouns, and/or gender as specified in an employee’s MyU portal.

For contact information for staff-facing University offices and units that use names, see below the table. For more information on updating your personal information to reflect your personal pronouns, gender identity, and preferred name on services also used by students, click one of the following links for resources about MyU, One Stop, and UCard

Key 

  • HR program or document: Service an employee may receive or participate in, and who administers it (the University or an outside vendor). If no outside vendor is listed, the University both provides and administers the program/document.

  • Required use of legal name: Describes whether the HR service requires either the recording or use of an employee’s Legal Name.
  • Possible to use preferred name: Describes whether the HR service allows for recording and/or use of a preferred first name instead of the legal name. How the preferred name is used can vary by service; however, University policy protects privacy by informing University staff and faculty to not use both legal name and preferred name in the same communication, report or display at the same time.
  • Source of compliance: Explains the external or internal compliance rules that require use of legal name and/or legal sex for the service, if applicable. 
  • Required use of legal sex: Indicates whether the HR service requires either the recording or use of an employee’s legal sex. 
  • Additional details: Any details or specifics about current state, or pending changes in this area.

Use of Legal Name and Sex by Program or Document

HR program or document*

Required Use of Legal Name? 

Possible to Use Preferred Name? 

Source of Compliance 

Required Use of Legal Sex? 

Additional Details (specific details about current state or pending changes in this area)

Emails from University itself, sent by OHR Communications

No

Yes

None

Not used

Uses the preferred name from MyU if listed

Print mail from University itself, sent by OHR Communications

No

Yes

None

Not used

Uses the preferred name from MyU if listed

I-9 
(I-9 Express)

Yes

No

Federal government—

USCIS (verify legal right to work in USA)

No

Tax documents
(W2, W4, Tax Treaties, etc)

Yes

No

IRS at federal level, state department of revenue

Not used

Paycheck 

Yes

No

IRS at federal level, state department of revenue

Not used

Notice of appointment (internal HR use)

Yes

No

Legal employment contract

Not used

Personal bio demographic (Internal HR use) 

Yes

Yes

University policy is to track both legal and preferred names.

Yes 

Initial data is taken from employee job applications, and later onboarding data gathering. If an employee needs to change their legal name or sex, they work with unit level HR to update the appropriate data. Employees can use MyU self service to update preferred name, pronouns, and gender at any time.

HR Analytics reporting
(Held by OHR, available to anyone with access to MyU reporting center)

Depends on the report or dashboard in question. Most of the HR Analytics reports do NOT require use of legal name. HR analytics reports will used preferred name if possible.

Depends on the report/dashboard in question. It is possible to use Preferred Name in most of the HR Analytics reports. There are some reports that use aged or limited data sets where the preferred name is not available. In these reports, the Legal Name would be the only name available.

Some U of M processes that use HR Analytics have compliance requirements for legal name.

Yes, but as a private restricted data element, Legal Sex information would only be available to individuals provided explicit access to this data (generally HR professionals).

Defaults to use the preferred name from MyU if listed. Reports can be generated using Legal Name based on HR business and process needs.

Reporting Center HR analytics other than HR analytics
(Held by OHR, available to anyone with access to myU reporting center with HR query access)

Yes

No

Operational reporting for primary HR and Payroll staff use

Sex and gender is not available in these reports

Health/Medical insurance
(Administered by Medica) 

Yes

No

Must match IRS and CMS records

Yes

Work is being started with insurance providers to send and uitilize preferred name and gender.

Specialty Pharmacy/Medications
(Administered by Fairview)

No (but the University only sends legal name at this time) No N/A Yes University sends legal name and legal sex due to a limitation of the electronic 'eligibility file' format currently in use by U of M.

Pharmacy benefit
(Administered by Prime Therapeutics)

No (but the University only sends legal name at this time)

No

N/A

Yes 

University sends legal name and legal sex due to a limitation of the electronic 'eligibility file' format currently in use by U of M.

GENDER: Currently, Prime’s system only allows M = Male or F = Female be sent and loaded.  Prime is working on updating our system effective 1/1/2022 to allow other values to be sent.

Flexible Spending Account (FSA)
(Administered by WEX)

Yes

No

WEX and and U of M systems lack a space/field for preferred name

Not used

 

Health Savings Account (HSA)
(Administered by Optum Bank)

Yes

No

The Patriot Act requires financial institutions, including Optum Bank,  to obtain, verify, and record legal name to identify the individual opening the account

Not used

Disability
(Administered by Unum) 

Yes

No

Tax reporting

Yes

Employee can request use of a preferred name through the claim intake process for use during the open claim, but must make this change with each new claim.

Dental insurance
(Administered by Delta Dental)

Yes

No

Limitation of electronic healthcare eligibility file

Yes

Individual clinics and providers may record a preferred name and gender identifier for use, but claims that are sent to Delta Dental must match what Delta has on file.

Life insurance
(Administered by Securian Financial)

Yes

No

U of M and Securian systems lack a space/field for preferred name

Yes

Wellbeing program
(Administered by Virgin Pulse)

Yes

Yes - First name only can be updated though profile on program's site.

Virgin Pulse requirements & syncing of eligible participants with Medica

No - However some activities may require disclosure of sex, gender, or both.

Activies requesting sex and/or gender are currently being re-evaluated by VirginPulse. 

Faculty and P&A retirement savings program (Faculty Retirement Plan)

Voluntary retirement plans (ORP and 457)(Administered by Fidelity)

Yes

No 

IRS

Not Used

Fidelity is investigating an enhancement to allow for use of a preferred name.

Pension plan (MSRS defined benefit plan)
(Administered by Minnesota State Retirement System)

Yes

No 

IRS (1099)

Yes

A participant may tell the representative a preferred name; and a flag will be put on the account for future phone calls only. 

Seniority rosters (public facing)

No

Yes

None

Not Used

Defaults to preferred name listed in MyU

Any Employee Relation documents (such as discipline document, letter, non renewal)

No

Yes

None

Typically not used, exceptions may occur

A process is currently underway to include additional information in templates that eschews legal name and gendered language

Job Application
(U of M Careers website portal)

No

Yes—uses whatever name is provided on the resume or account

None

No - external applicants can select M or F  or none at all

Background check

Yes

No

Federal, state, or international; depending on where they lived

Not Used

Video interviewing tool
(Spark Hire)

No

Yes

None

Not used

Reference checking tool
(SkillSurvey)

No

Yes

None

Not used

Performance management tool to track goals and evaluations
(Performance Appraisal Tool (PAT))

No

Yes

None

Not used

Internal, uses preferred name

New hire reports for unions

No

Yes

None 

Not used

Pulls preferred name from MyU

Unemployment

Yes

No

State (DEED), Federal (Social Security)

Yes (to State/

DEED)

*This list is an ongoing process in which information will be added, removed, or otherwise updated as new information is found. Please send edits or updates to the OHR Website Update Form.

Questions? Concerns?

If you are having difficulty updating your personal information or have questions or concerns about something on this page, please reach out to the appropriate University area:

  • ohr@umn.edu for centralized human resources: job applications, tax documents, paychecks, data collection and distribution, Performance Appraisal Tool (PAT), unemployment, reports for union

  • benefits@umn.edu for employee benefits: health and dental insurance, disability coverage, life insurance, FSAs and HSAs, retirement savings, Wellbeing Program

    • You can also directly contact a benefit administrator (such as Medica or Delta Dental) using phone or email info on the Benefits webpages.

  • help@umn.edu for University-administered technology, such as computers, email accounts, and other licenses

  • myu@umn.edu for MyU portal questions and concerns.