| Policy: 2-0.1 | Rev: 3 |
| Date: July 11, 2007 | |
PURPOSE
To define the term "personnel file" and establish procedures for
inspection, copying, and challenges to the contents of such files.
"Personnel file" means the current official file or files regardless of location, relating to an employee of the university, which contains documents and data recorded in the usual course of official university business relating specifically to the individual's employment qualifications, working assignments, promotions, compensation, job performance, personnel evaluations, disciplinary proceedings, and participation in university insurance and benefits programs. The "personnel file" shall include but is not limited to the employee's Personnel Action Notification form, the records of completed retention, promotion, and tenure (or continuing appointment), review proceedings (see Faculty Regulations, Chapter V, Sections 2 and 4) and any letters or memoranda of evaluation, commendation or criticism relating to an employee which were not solicited or written under a request or promise of confidentiality.
Official Custodian—The Official Custodian for Staff or Human Resources
personnel files will be appointed by the Vice-President for Human Resources. The
Official Custodian(s) of Faculty personnel will be appointed by the Senior
Vice President for Academic Affairs, or the Senior Vice President for
Health Sciences, as appropriate.
A. Disclosure Policy
1. The university recognizes the right of each
employee to examine, obtain a copy of, and to challenge the accuracy of
factual data in documents contained in that employee's personnel file,
except for information and materials therein that are classified as
"controlled" under the Utah Government Records Access and
Management Act or the disclosure of which is forbidden pursuant to state
or federal law.
2. Secret files or systems containing information
about personnel included within the scope of this policy shall not be
maintained by any university officer or operating unit. Upon request by
a university employee, or by an authorized officer of the university
pursuant to such a request from an employee, it shall be the duty of all
university personnel with knowledge of the facts to disclose the
existence and maintenance of all files or systems containing personnel
information relating to that employee, whether or not such information
is subject to inspection or copying by the employee.
3. This policy applies only to "personnel files" as
defined herein, and does not affect any right conferred by law upon an
individual to inspect, copy, or challenge the contents of other records
and files files of the university that relate to that individual.
4. No person has a right under this policy to inspect,
copy, or challenge the contents of the personnel file relating to any
other individual, except to the extent that such person may be
authorized to do so by the university.
5. Any person who is both a student and an employee of
the university shall have the same right of inspection, copying, and
challenge of his or her personnel file as is enjoyed by other university
employees, and shall be entitled to the same right to inspection,
copying, and challenge of his or her educational records as is enjoyed
by other students.
B. Maintenance of Files
1. The primary personnel files of faculty members,
academic librarians, and other instructional personnel shall be
maintained by the Senior Vice President for Academic Affairs or the
Senior Vice President for Health Sciences, whichever is appropriate.
2. The primary personnel files of noninstructional
employees shall be maintained by the Vice President for Human Resources.
3. Secondary personnel files may also be maintained by
colleges, departments, or other operating units, as may be necessary for
functional efficiency
4. The Senior Vice President for Academic Affairs, the
Senior Vice President for Health Sciences and the Vice President for
Human Resources shall each designate an official custodian of personnel
records, who shall be assigned the responsibility for expediting
compliance with the relevant provisions of this policy and procedure.
C. Inspection and Copying
1. Upon request to the appropriate custodian, an
employee of the university shall be afforded a reasonable opportunity to
inspect and/or obtain a copy of his or her primary or secondary
personnel file, or such part thereof as is described in the request,
subject to the following limitations:
(a) Letters or memoranda of recommendation,
evaluation, or criticism which are solicited or submitted under a
request or promise of confidentiality shall be temporarily removed from
the individual's personnel file before it is inspected by the individual
to which such letters or memoranda refer. See Policy 9-5.1.D.9 (Faculty Regulations,
Chapter V, Section 2 D.9)
(b) Information in an employee's personnel file which relates
to persons other than the subject employee shall be temporarily removed
from the file before it is inspected by the employee, if the information
(1) is classified as "private," "protected," or "controlled" within the
meaning of the Utah Government Records Access and Management Act; (2) consists
of personally identifiable information relating to the salary or
compensation of a person other than the employee who is the subject of
the personnel file; or (3) is prohibited from disclosure by or pursuant
to state or federal law.
2. A request to inspect may be oral or written and
shall describe generally the records or data in the personnel file which
the individual wishes to examine. The person seeking inspection shall,
upon request, produce appropriate documents or other evidence of
identity.
(a) Upon verifying the identity of the requesting person, the
custodian of the files shall take appropriate steps to comply with the
request with reasonable promptness.
(b) When immediate inspection is not feasible or appropriate,
the custodian shall cause the personnel file to be assembled (including
any data
maintained in electronically stored format) and made available for
examination by the individual as soon as feasible, ordinarily not to
exceed 10 working days after the request, at a reasonable place and time
(during regular business hours) to be designated by the custodian.
(c) The inspection shall take place in the presence of the
custodian or designee of the custodian of the personnel file. No changes
or alterations may be made to any documents in the file, and no
documents may be removed from the file.
(d) A memorandum recording the request and the making of the
inspection shall be inserted in the file by the custodian immediately
after the inspection has been concluded.
3. A request for copies of the personnel file, or any
part thereof, must be in writing.
(a) Before the requested copies are prepared, the cost of
copying shall be calculated by the custodian of the file pursuant to a
schedule of charges established from time to time by the Vice President
for Human Resources, and the requesting individual shall tender payment to the university cashier of the amount of the
estimated cost of such copying.
(b) Upon receiving evidence of payment of the estimated cost of
copying, the custodian shall arrange to prepare copies in accordance
with the request and make them available to the requesting individual
with reasonable promptness.
(c) The written request for copies shall be placed in the
employee's personnel file, together with a memorandum recording the date
and manner of the response to the request.
4. Challenge to Contents
(a) An employee of the
university may at any time challenge any factual statement or entry of
factual data in his or her personnel file upon the grounds that it is
inaccurate, misleading, inappropriate, or otherwise in violation of
individual rights, provided that a separate process of appeal has not
been available to the employee under any other University policy or
procedure.
(b) Employees who question the accuracy of
information in
their files should discuss their concerns with the appropriate
departmental Chair/Director. The Chair/Director will consider the
objections and has the option of recommending that the Official
Custodian of the file remove the information in question, if
appropriate. The employee may also make a challenge directly to the
Official Custodian. The Official Custodian will work with the parties to
arrive at a mutually agreeable solution.
(c) The Official Custodian will make a
recommendation to the cognizant vice-president. The cognizant
vice-president will render a final decision regarding any changes in,
deletions from, or additions to the personnel file to assure that the
file includes only factually accurate, truthful, and relevant
information. The employee shall be advised in writing of all approved
modifications.
(d) Should the disputed information be
retained in the file, the employee may submit a written statement
identifying the alleged errors or inaccuracies. The statement will
remain in the file as long as the disputed information is retained.
Approved: Institutional Council 5/14/79
Editorially revised: 7/11/07