PERSONNEL PROCEDURES FOR UC IRVINE STAFF MEMBERS

A. References

State of California Information Practices Act of 1977 (IPA)

Personnel Policies for Staff Members

Policy 80, Staff Personnel Records

UC Business and Finance Bulletin

RMP-7, Privacy of and Access to Information Responsibilities
RMP-8, Legal Requirements on Privacy of and Access to Information
RMP-9, Guidelines for Access to University Personnel Records by Governmental Agencies

UC Records Management Disposition Schedules

UCI Administrative Policies & Procedures

Section 700-11, Guidelines on Subpoena, Subpoena Duces Tecum, and Deposition Subpoena
Section 720-10, Information from Public Records (California Public Records Act) - Guidelines
Section 720-11, Privacy of and Access to Information (Excluding Student Records) - Guidelines
Section 721-10, Records Management Guidelines

Quick View: PRIVACY AND ACCESS TO INFORMATION

B. Authority and Responsibility

As the Records Proprietor, Human Resources is responsible for responding to legal demands for access to staff personnel records and for ensuring that the campus is in compliance with all relevant University policies and procedures.

As Records Custodians, Vice Chancellors and Academic Deans are responsible for ensuring that complete personnel records are maintained for staff within their jurisdiction, in accordance with applicable University policies and procedures.

C. Definitions

1. Record Owners

Records Proprietor - The individual with management responsibility for the records associated with a University administrative function.

Records Custodian - The individual with responsibility for a repository of records.

2. Personnel Records - A personnel record consists of all required and necessary personnel documents. These documents are normally maintained in several related, topical files which, together, are considered the complete employee personnel record. The recommended file structure includes:

   General Employee File Medical File Confidential File Payroll/Timekeeping File

General Employee File - Personnel documents that have a direct relation to the employee's job, such as licenses/certificates, performance evaluations, employment application, record of salary changes. See Checklist: Contents for a General Employee File.

Medical File - Documents relating to an injury, illness or disability (e.g., FML documents or Workers' Compensation forms). See Checklist: Contents of a Medical File.

Confidential File - Documents not directly related to the employee's job; may contain personal information (e.g., birthdate, social security number, home address, or phone number). See Checklist: Contents of a Confidential File.

Payroll/Timekeeping File - Department copies of documents that are related to the employee's time record (e.g., IDOCs or timesheets). See Checklist: Contents of a Payroll/Timekeeping File.

3. State of California Information Practices Act of 1977 (IPA) - This law provides measures to assure fair treatment of individuals who are subjects of State agency records, and states in part:

"The Legislature declares that the right to privacy is a personal and fundamental right protected by Section 1, Article 1 of the Constitution of California and by the United States Constitution and that all individuals have the right of privacy in information pertaining to themselves. The Legislature further makes the following findings:

1. The right to privacy is being threatened by the indiscriminate collection, maintenance, and dissemination of personal information and by the lack of effective laws and legal remedies.
2. The increasing use of computers and other sophisticated information technology has greatly magnified the potential risk to individual privacy that can occur from maintaining records of personal information.
3. In order to protect the privacy of individuals, it is necessary that the maintenance and dissemination of personal information be subject to strict guidelines."

D. Guidelines

1. Personnel Documents

   Each unit manager is responsible for ensuring that all completed personnel documents are placed in the appropriate employee file. Copies of delivered disciplinary action letters and related proofs of service should be placed in the employee's general file. Any comments written by the employee regarding such letters are placed in the employee's general file. Employee comments do not require the University to change or alter the letters or the actions indicated by the letters.

With the exception of performance evaluations, documents such as letters of disciplinary action or other documents concerning conduct or work performance, counseling memoranda or written records of discussions will, upon the written request of the employee, be removed from the employee's personnel file(s) if there have been no other disciplinary actions of the same or a similar kind and no other letters or memoranda relating to the same or similar issues for a period of two years.
2. Safeguards

To ensure security, all employee files should be locked in a file cabinet and kept separate from public access. It is the responsibility of each unit manager to ensure that all files are properly secured. Confidential and medical files should be kept separate from the general and payroll files.

3. Access to Personnel Records

   Access to information about employees should be strictly limited to those individuals at the University with a business need to know the information contained in the record (e.g., supervisor, department head, HR).

Upon written request, employees are given the opportunity to review their personnel records for a reasonable period of time in the presence of a University representative. By written authorization, employees may allow other individuals access to their record. Departments may wish to confirm an authorization by contacting the employee. The authorization should be placed in the employee's general file and will remain valid for 30 calendar days from the date of signature, or for the period indicated by the employee.

Employees may also request a copy of their own files. A request should be made in writing and specify which documents should be copied. A copy of the written request should be placed in the employee's general file. There is no charge for the first copy. Departments may charge $.10 per page for additional copies.


Records protected by recognized legal privilege and records excepted from disclosure by law may be withheld from the employee and employee's representative.

Examples of records protected by legal privilege and exempted from disclosure by the Information Practices Act are:


Letters of reference
Record of an investigation under way at the time of the request

4. Access to Records by the Public

For definitions relating to "public records," refer to RMP-8.

Guidelines for access to personnel records by governmental agencies are found in RMP-9.

For instructions on accepting subpoenas duces tecum and deposition subpoenas, refer to Section 700-11.

Requests by the public for written employment verification are directed to the Payroll Office. Examples of such requests include loan documents and rental applications.

Oral requests for employment verification may be fulfilled in the individual's department by persons authorized to access the Employee Data Base (EDB), or requests may be forwarded to Payroll.


5. Records Retention Period

The "employment" section of the UC Records Management Disposition Schedule outlines retention periods for most personnel documents. Personnel policies and union contracts provide guidelines for retention of corrective or disciplinary actions.

6. Transferring Employee Records

When an employee transfers to another department at UCI, the employee's complete personnel record (general file, medical file, confidential file, payroll/timekeeping file) are to be transferred with the employee. See How to Transfer an Employee's Personnel Record.

7. Personnel Record for a Separated or Rehired Employee

   The personnel record for an employee who separates from UCI (includes employees who transfer to another UC) should be forwarded to Human Resources for storage. See How to Handle the Personnel Record for a Separated Employee.

   Departments who rehire former UCI employees should contact Human Resources to request that the employee's previous personnel record be removed from storage and transferred to the new department.

8. Questions and Legal Requirements

   The Chancellor has designated the campus Information Practices Coordinator, (949) 824-7151, and the Executive Assistant to the Director, UCI Medical Center, (714) 937-7979, to respond to questions regarding privacy of and access to records.

   For specific legal requirements regarding an employee's access to the employee's own personnel records, refer to RMP-8.

   For specific information regarding the right to correct or amend an employee's own personnel records, refer to RMP-8.

F. Applicability

All staff members, including employees in career, casual restricted, limited and contract appointments.