UK Human Resources
Policy # 6.0: Staff Employee Files
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.
An official human resources file for all staff employees will be retained in Human Resources Office of Records (Records).
- Other human resources files may be maintained, as appropriate, in the following locations:
- The unit in which the staff employee works,
- The Human Resources Office of Unemployment Insurance,
- The Human Resources Office of Employee Benefits, and/or
- Other appropriate locations.
- The types of documents maintained and retained in 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,
- Corrective Action Records,
- Consultation Reports and other related documentation,
- Appropriate insurance, retirement and other benefits information,
- I-9 Form,
- Employee Separation Sheet, and/or
- Diplomas, certificates, training records and related personal accomplishment documentation.
- Internal access to the human resources files is subject to the following guidelines:
- A staff employee, after verification of the employee’s identity, may review any information pertaining to him/her contained in the file.
- 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 Records. A reasonable charge may be made for copies.
- Staff members of Human Resources may be specifically authorized to request, receive and review, for official purposes, a human resources file.
- Department heads and other University officials may request and review human resources files provided there is an official University need for such access.
- 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 as the opinion of the writer/speaker.
- External access to human resources files of personally identifiable information or other employment related data/information about an individual without written authorization from the employee/individual shall be directed to Records. That office shall release only the following information:
- Past or present employment,
- Verification of dates of employment, and/or
- Position or title.
- A University employee is prohibited from releasing any information about another employee to an outside employer or agency without a written authorization from that individual.
- Nothing in this policy shall be construed as a prohibition against a letter of recommendation or other employment related information being released upon signed authorization of a present or past employee. This information shall be based on documented facts or shall be stated as the opinion of the writer. A copy of the employee’s authorization should be attached to any document released.
- An employee’s working unit, campus address, campus and home telephone numbers may be made available through campus telephone directory information.
- Other external access to human resources files shall be authorized only by the Official Records custodian and normally under the following circumstances:
- To protect the legal interests of the University.
- In response to a law enforcement authority, when appropriate.
- Pursuant to a federal, state or local government statute or regulation that specifically requires disclosure of certain information to certain parties.
- In response to a lawfully issued administrative summons or judicial order including a search warrant or subpoena. 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.
- In compelling circumstances affecting the immediate health or safety of the individual.
Note: An employee should be aware that violations of this policy may result in corrective action under HRP&P 12.0 Separation from Employment.
- 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 shall be made within 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 discovers the information upon review of the file, the request shall be made within 30 calendar days of the review.
- The request shall be submitted in writing to the Associate Vice President of Human Resources. After review, the Associate Vice President of Human Resources will determine whether the correction or amendment shall be made and advise the employee accordingly in writing and a copy placed in the employee's human resources file.
- If the employee is not satisfied with the decision, the employee may appeal within 10 working days (Saturdays and Sundays excluded) after receipt of the previous decision in writing to the Provost or the appropriate executive vice president whose decision shall be final.
The official records custodian for the University authorizes the appropriate parties to retain the documents or human resources files as stipulated within this policy and pursuant to the University’s record retention policy.
- All requests for access to human resources files requiring the authorization of the Official Records Custodian shall be submitted in writing.
- Department heads maintaining employee files are responsible for ensuring a proper need or a right to know when allowing review of such files. The Associate Vice President of Human Resources may be consulted regarding access to human resource files.