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HR Policies

Policy # 6.0 Archived Version:
Staff Employee Files

Revision date of this archived policy:
July 11, 2002

Note: This is not a current version of the policy. View current version. »

6.1 Policy 

The University maintains a human resources file on each staff employee. The University takes appropriate steps to protect the privacy of personal information contained in human resources files. The President designates the Official Records Custodian.

  6.1.1 An official human resources file for all staff employees will be retained in Human Resource Services. Other human resources files may be maintained, as appropriate, in the following locations:
    6.1.1.1 Within the unit in which the staff employee works, Unemployment Insurance Office, Employee Benefits Office, and other appropriate locations.
  6.1.2 The types of documents maintained and retained in the human resources files may include the following: Application for Staff Employment; Resumes or Curriculum Vitae; Payroll Authorization Records (PAR); Vacation and Temporary Disability Records; Faculty-Staff Information Sheets; Performance Evaluations; Disciplinary Records, Consultation Reports, and other related documentation; appropriate insurance, retirement and other benefits information; I-9 Form, Employee Separation Sheet; and diplomas, certificates, training records and related personal accomplishment documentation.
  6.1.3 Internal access to the human resources files is subject to the following guidelines:
    6.1.3.1 A staff employee, after verification of the employee's identity, may review any information pertaining to the employee contained in the file.
      6.1.3.1.1 A properly identified and authorized representative of a staff employee, with a signed authorization from the employee, may review any information pertaining to the employee contained in the official file. If the authorized representative wishes to make a copy of any information in the employee's file, a written request for copies shall be addressed to the Employee Records Office of Human Resource Services. A reasonable charge may be made for copies.
    6.1.3.2 Staff members of the Human Resource Services Office may be specifically authorized to request, receive, and review, for official purposes, a human resources file.
    6.1.3.3 Department heads and other University officials may request and review human resources files provided there is an official University need for such access.
    6.1.3.4 Nothing in this policy shall be construed to prohibit a University supervisor from releasing information/data on an employee to a supervisor in an area where the supervised employee has applied for transfer. Any released information/data shall be from documented facts or shall be offered as the opinion of the writer/speaker.
  6.1.4 External access to human resources files of personally identifiable information or other employment related data/information about an individual without specific written authorization from that individual is subject to the following guidelines:
    6.1.4.1 All requests for verification of present or past employment shall be directed to the Employee Records Office of Human Resource Services. The Employee Records Office shall release "directory information" about a staff employee without authorization from the individual employee. Directory information is limited to past or present employment, verification of dates of employment and position or title.
      6.1.4.1.1 A University employee is prohibited from releasing any information (except as authorized in this policy) about another employee without a written authorization from that individual.
      6.1.4.1.2 Nothing in this policy shall be construed as a prohibition against a letter of recommendation or other employment related data/information being released upon the signed authorization of a present or former University employee.
      6.1.4.1.3 Such letters concerning a University employee (past or present) shall be based on documented facts or shall be stated as the opinion of the writer of the letter. A copy of such an authorization document shall be attached to any documented release of employment related data/ information.
  NOTE: An employee should be aware that violations of this policy may result in disciplinary action under HRP&P 12.0.
    6.1.4.2 An employee's employing unit, campus address, and campus and home telephone numbers may be made available through campus telephone directory information.
    6.1.4.3 Other external access to human resources files shall be authorized only by the Official Records Custodian. The Official Records Custodian normally provides access to human resources files under the following circumstances:
      6.1.4.3.1 To protect the legal interests of the University.
      6.1.4.3.2 To a law enforcement authority when appropriate.
      6.1.4.3.3 Pursuant to a federal, state or local government statute or regulation that specifically requires disclosure of certain information to certain parties.
      6.1.4.3.4 In response to a lawfully issued administrative summons or judicial order, including a search warrant or subpoena.
        6.1.4.3.4.1 A subpoena or other legal process for the production of the human resources file shall be reviewed by the University Office of Legal Counsel prior to release of the information.
      6.1.4.3.5 In compelling circumstances affecting the immediate health or safety of the individual.
  6.1.5 An employee has the right to request correction or amendment of any information contained in the employee's human resources file. If the employee is or should be aware that this information is in the file, the request for correction or amendment shall be made within sixty (60) calendar days from the date the information was put in the file. If the employee is unaware the information is in the file and only discovers such information upon review of the human resources file, the request for correction or amendment shall be made within thirty (30) calendar days of the review.
    6.1.5.1 The request for correction or amendment shall be submitted in writing to the Director of Human Resource Services, and shall state (a) the exact correction or amendment which the employee wishes to make and (b) the reason why such correction or amendment should be made.
    6.1.5.2 The Director of Human Resource Services, or designee, shall review the employee's request, ascertain the facts surrounding the request, and then determine whether the correction or amendment shall be made.
    6.1.5.3 If the Director of Human Resource Services, or designee, decides that the request for correction or amendment is appropriate, the correction or amendment shall be made.
    6.1.5.4 If the Director of Human Resource Services, or designee, decides that no correction or amendment is appropriate, that decision shall be rendered in writing to the employee and a copy placed in the employee's human resources file.
      6.1.5.4.1 If the employee is not satisfied with the decision, the employee may appeal within ten (10) working days (Saturdays and Sundays excluded) after receipt of the previous decision in writing to the Provost or the appropriate vice president whose decision shall be final.
    6.1.5.5 In the case of disclosure of human resources file information that is the subject of a dispute, the University shall make a reasonable attempt to furnish to the requesting party a copy of any documentation which indicates a dispute.
6.2 Delegation

The Official Records Custodian for the University of Kentucky authorizes the appropriate deans, directors, department heads, and employees of the Employee Records Office of Human Resource Services to maintain or retain the documents or human resources files as stipulated within this policy and pursuant to the University's record retention policy.

6.3 Procedure
  6.3.1 All requests for access to human resources files requiring the authorization of the Official Records Custodian shall be submitted in writing.
  6.3.2 Department heads maintaining employee files are responsible for ensuring a proper need or a right to know when allowing review of such files. The Director of Human Resource Services, or designee, may be consulted regarding access to human resources files.

Archived Versions of this Policy

Previous version: revised 04-01-2006
Previous version: revised 07-11-2002
Previous version: revised 04-01-1990