SPA Personnel Record Information

The HR Records & Information Department in the Office of Human Resources is responsible for the personnel records of all SPA employees and for advising departments on the State and University law and policy concerning the privacy of personnel records. HR Records reviews requests for access to, or disclosure of, a personnel record and releases this information as provided in State law.

A personnel file consists of information relating to the individual's:

• personal demographics
• application
• selection or nonselection for employment
• promotions, demotions, reassignments, transfers
• leave
• salary
• suspensions and/or other formal disciplinary actions
• termination or separation, or
• other information relating to an employee's work at the University.

University Personnel Files

HR Records & Information maintains the official personnel record for each current SPA employee.

Records of former permanent SPA employees, temporary employees, and University student workers are kept in HR Records for one year and then forwarded for permanent storage.

University personnel records are retained for 65 years, then destroyed.

Department Personnel Files

Departments may keep files that follow the employee's career through the University or State agencies.

Departmental personnel records of separated employees should be retained at least five years.

Performance evaluations and leave records (including any paid time off) are maintained in the department files.

HR Records & Information is required to maintain public information for personnel files. Public Information includes the employee's:

• name,
• age (not date of birth),
• current department,
• date of original employment with the State or appointment to State service
• current classification title,
• current salary,
• date and amount of most recent change in salary, and
• date of most recent promotion, demotion, transfer, suspension, separation, or other change in position classification.

Information in an employee's personnel file that is not identified specifically as public information is considered confidential.

A personnel file is confidential to all except those who have a need to know its contents. Only authorized people shall have access. Each University office that houses personnel files must establish controls to protect information from unauthorized disclosure. For example, personnel files should be stored in a locked cabinet or drawer with access strictly limited by the department head.

To allow an unauthorized person access to confidential information in a personnel file, or to disclose information to such a person, is a misdemeanor. Any unauthorized person who accesses, examines, copies, or removes confidential information from a personnel file is guilty of a misdemeanor and, upon conviction, shall be fined in the discretion of the court not to exceed $500.

In accordance with the guidelines on public and confidential information, an employee has access to his/her personnel files regardless of its location, file title, or form (e.g., electronic, microfilm, microfiche). Departments should refer requests for personnel record information to HR Records & Information.

Any person wishing to review his/her own personnel record must make an appointment with HR Records during its regular business hours. A picture ID must be presented before a personnel record can be reviewed.

An employee may examine his/her entire personnel file with these exceptions:

• letters of reference solicited prior to initial University employment
• information concerning medical disabilities (mental or physical) that a physician might not have disclosed to the employee. (Medical information may be disclosed to a licensed physician designated in writing by the employee.)

Information in the public record may be copied; however, documents may not be removed or borrowed.

An employee who objects to information in his/her file may place a statement in the file relating to that which is considered inaccurate or misleading. See the "Dispute Resolution and Staff Grievance Procedure" Policy for details on seeking removal of such material.

Public personnel information is available to the public during the regular business hours of HR Records & Information.

Any person denied access to public information has the right to compel compliance by applying to the court system for a "writ of mandamus."

Information in the public record may be copied; however, documents may not be removed or borrowed.

HR Records & Information releases or permits examination of confidential personnel records only as provided in State law and is available only to the following persons (satisfactory proof of identity is required):

• The employee or properly authorized agent for the employee. An employee's authorized agent is one who possesses that employee's written authority for access to, or disclosure of, a confidential personnel record. The written authorization must bear the signature of the employee.
• The current supervisor of the employee or any individual within the organizational unit who is in the chain of authority above the employee.
• Members of the General Assembly.
• A party by authority of a proper court order.
• An official of a Federal, State, or other political subdivision agency (e.g., State Auditor's Office). The official may inspect any personnel record when such inspection is deemed necessary to complete assigned duties, except for purposes of assisting in a criminal prosecution or a tax investigation.
• An authorized official within the University or another State agency considering employing a current or former employee, or applicant.
• A party to a quasi-judicial hearing of a State agency or a State agency which is conducting a quasi-judicial hearing. The file must be required evidence in the hearing. Such a file can be disclosed either by employee's consent or upon properly issued subpoena.

Special Exception

The personnel file of a current or former employee may be examined, or its information disclosed, by the Chancellor after finding that:

• Inspection is essential to maintaining University integrity or quality, and
• A memorandum is written prior to disclosing the information. The memorandum must set forth the circumstances that require the disclosure and the information to be disclosed. This memorandum is maintained as a public record in the employee's file, and a copy must be sent to the employee.

HR Records & Information reviews requests for access to (or disclosure of) personnel records and releases information as described below.

• For credit and employment verification, public personnel record information may be disclosed by telephone, in writing, or in person.
• For other requests, public information may be disclosed to any person during regular office hours.

For questions regarding personnel records, contact HR Records & Information at 962-2894.