Policy:

Proper handling of employee personnel records by UNC Charlotte as a public institution requires harmonizing the interests of employees, UNC Charlotte as employer, and the general public. State law in North Carolina places certain requirements on handling state employee personnel records and establishes penalties for their violation.  Beyond the mere legal requirements, certain additional standards concerning personnel records should be maintained.  This policy statement incorporates both legal requirements and additional standards for two purposes: to provide guidance to employees about their privileges and obligations with respect to their own personnel records, and to guide UNC Charlotte personnel responsible for producing and maintaining personnel records in the appropriate handling of those records.  No access to or disclosure from employee personnel records is permitted except in accordance with these requirements.

I.          Definitions

At state law, a "personnel file" consists of any information gathered by UNC Charlotte which relates to an individual's application, selection or non-selection, promotion, demotion, transfer, leave, salary, suspension, performance evaluation, disciplinary action, or termination of employment wherever located and in whatever form.  "Individuals" having UNC Charlotte personnel files include not only present UNC Charlotte employees but also former employees and applicants for employment.  An "applicant for employment" is an individual who takes those steps necessary to be considered an applicant for purposes of the UNC Charlotte Affirmative Action plan.

Obviously, not every record that mentions an employee constitutes a personnel record.  When there is doubt, refer inquiries to the Office of the General Counsel.

II.         Information Required to Be Disclosed to Any Member of the Public

The law requires the University to permit the public to have access to the following information from UNC Charlotte's employees' personnel records: name, age, date of original state employment, current position or title, current salary, date and amount of most recent salary change, date of most recent status change (promotion, resignation, termination, etc.), and current office assignment.  As a general rule, all requests for access to personnel information from any person or agency except the subject employee or the employee's supervisors (see VI below), should be referred to the Department of Human Resources (SPA) or the Office of Academic Affairs (EPA) or the Graduate School (GAs).

III.Location of Personnel Records

A.Current employees: Personnel records on current employees are maintained in a variety of campus offices, depending on the nature of the record. 

B.Former employees: Personnel records on all former SPA employees are retained only in the Department of Human Resources.  Personnel records on former EPA employees are retained in the Office of Academic Affairs and in their respective departments/units for up to three years before being sent to the University Archives, where the files are merged.

C.Unsuccessful applicants for employment: Personnel records on all unsuccessful applicants for SPA employment are retained only in the Department of Human Resources.  Personnel records on all unsuccessful applicants for EPA employment are retained in the unit or department conducting the search for two years, and then the files are destroyed. 

IV.Retention Schedule 

A.Current employees: Personnel records for current employees are maintained in the appropriate offices throughout the period of employment, subject to the "relevancy" requirement of Section VII below. 

B.Former employees: When employment terminates, all personnel records for SPA positions shall be forwarded to the Department of Human Resources and retained for five years; such records shall then be forwarded to the State Archives for permanent storage. When employment terminates for EPA positions, all files are maintained in the Office of Academic Affairs and in their respective departments/units for up to three years and then sent to University Archives for permanent storage.  The University Archivist merges all files and maintains a directory of files.

C.Unsuccessful applicants for employment: Personnel records of all unsuccessful applicants for SPA positions shall be retained for two years, then destroyed.   Personnel records of all unsuccessful applicants for EPA positions shall be retained in the recruiting department/unit for two years and then destroyed.

V.Employee Inspection of His/Her Personnel File 

A current employee who wishes to inspect his/her personnel file in a particular campus office should contact the administrator in charge of that office.  An employee, former employee, or applicant who wishes to make a more general inspection should make a written request directed to: 

SPA employees: Director of Personnel

EPA employees: Director of Academic Budget and Personnel

Graduate assistants:  Dean of the Graduate School

Those offices will accumulate all records and schedule a time and place for the employee to inspect the personnel file.

VI.Maintaining Confidentiality and Permitting Access

Employees responsible for maintaining personnel records and files of current UNC Charlotte employees should permit access to those records only in accord with the requirements in this section unless they receive special instructions from their supervisor.

A.Access should be permitted to:

         1.The supervisor of the employee who is the subject of the records, or persons in that supervisory chain, or persons authorized by those supervisors to carry out personnel administration functions, but only for purposes of official University business.

         2. The employee, applicant for employment, or former employee who is the subject of a personnel record, who may have access to the personnel record in its entirety, except for confidential letters of recommendation solicited prior to employment, and certain medical records. 

"Confidential letters of recommendation" include notes from telephone reference checks and statements from UNC Charlotte and other individuals solicited prior to the initial date of employment.  Once a new employee begins at UNC Charlotte, all copies of such confidential letters of recommendation should be forwarded to the Department of Human Resources (SPA employees) or to the office of the Director of Academic Budget and Personnel (all other employees). 

"Medical records" require special consideration.  Records relating to employee medical or counseling services provided by the University Health Service and University Counseling Center are not part of the personnel file.  An employee is not entitled to review medical records that are part of his/her personnel file if those records include "information concerning a medical disability, mental or physical, that a prudent physician would not reveal to a patient."  That information may be released to a licensed physician designated in writing by the employee. 

Because "medical records" present special confidentiality requirements, all copies of such documents should be forwarded to the Benefits Office in the Department of Human Resources.

Employees responsible for maintaining personnel files are expected to review the personnel file for the presence of confidential recommendations and medical records before permitting any employee access to his or her personnel file. 

If any case of doubt about whether to disclose information from personnel records, contact the Department of Human Resources or the Office of Academic Affairs. 

VII.Relevance 

Information and documents not relevant to personnel administration should not be retained in the personnel file. 

VIII.Remedies of Employee Objections to Material in the Personnel File 

Any present employee, applicant for employment, or former employee is legally entitled to take either or both of the following actions if he or she considers material in the personnel file to be inaccurate or misleading: 

A.Place in the file a statement relating to the material considered inaccurate or misleading. 

B.Seek removal of material in the file in accordance with grievance procedure applicable to the employee's category of employment. 

IX.Notice to Employee of Disclosure of Confidential Information to Outside Agencies 

The University will notify the employee as promptly as possible when it makes a disclosure of confidential information required or permitted by law, as in response to a subpoena, court order, or to a properly authorized government official.  The University official making such disclosure is responsible for notifying the employee in writing, with a copy of the notice to the personnel file.  No such notice will be given were the only information requested is information available to the general public. 

X.Use of Information from Credit Reporting Services in Personnel Decisions 

Because of federal law requirements governing requests for or use of information obtained by or through any consumer credit reporting agency, no UNC Charlotte representative is authorized to request or make use of such information for any University-related purpose without the written approval of the Chancellor.  The UNC Charlotte Office of Police and Public Safety is exempt from this requirement with respect to employment of campus security officers, consistent with the federal requirements.

 (Initially approved October 17, 1983, revised October 21, 1985; revised March 26, 2001.)