[Duplicated text of UH Systemwide Administrative Procedure, AP 9.075 Personnel Records]
R-15, UH Systemwide Administrative Procedure AP 9.075, Personnel Records (January 2024)
I. Purpose
To implement a uniform system for the maintenance of the official personnel records for University of Hawai‘i Employees and to establish procedures for the maintenance of official personnel records and to identify the documents as personnel records.
This instruction applies to personnel records of all University of Hawai‘i employees appointed pursuant to Chapter 304A, HRS, which includes but is not limited to faculty, lecturer, casual hire, Administrative, Professional and Technical (APT), and Executive employees, and Civil Service employees, pursuant to Chapter 76-11, H.R.S.
Personnel records may be maintained in hard copy format, on computerized record-keeping systems, and/or digital imaging systems. This instruction does not apply to personnel records of student employees hired under Student Employment and Cooperative Education system.
II. Definitions
Personnel Records: An employee’s personal records pertaining specifically to their status as an employee with the University.
Personnel File: A collection of an employee personnel records batched in accordance with EP 2.216, Institutional Records Management.
III. Administrative Procedure
A. An employee’s Official Personnel Records should include the following:
- Personnel File
a. The following personnel records are generally maintained via hard-copy format or digitized image:
i. Letter of hire/offer and acceptance of employment
ii. Curriculum vitae, and application documents
iii. Approval documents of appointments, changes in appointments approval of tenure (e.g., notice of renewal, approval of appointment/reappointment)
iv. Employee’s Claim for Prior Creditable Service for Awards
v. Self-Identified Ethnic Background
vi. Training-related documents
vii. Sabbatical or Professional Improvement Leave documents
viii. Reporting of changes to employee information or equivalent
ix. Hawai‘i Employer-Union Health Benefits Trust Fund
x. State Deferred Compensation
xi. State Part-time, Casual & Seasonal (PTS) Deferred Compensation
xii. Employees’ Retirement System enrollment forms
xiii. Performance evaluation reports including notice of renewal, Promotion and Tenure or APT Performance Evaluation
xiv. Notice of disciplinary actions (e.g., Written Reprimand, Letter of Suspension or Discharge) in accordance with retention schedules per the employee’s respective bargaining unit
xv. Letters of commendation or recognition
xvi. Employment separation documents
xvii. Application for Transfer of Vacation and Sick Leave Credit or Payment in Lieu of Vacation (Form G-2) or Early Payout of Accumulated Vacation Leave Credits (Form G-2A)
xviii. Any document deemed critical to record or monitor employment history.
B. The following personnel records may be managed and maintained in the appropriate system(s) of record, but constitute information pertaining to the employee’s Personnel File:
- HW-4 and W-4 tax withholding certificates (maintained in the State of Hawai‘i Payroll System)
- Payroll Action Forms (maintained in the University Human Resources Information System)
- Employee Leave Record (maintained in the University Online Leave System)
- Employee Designation of Beneficiary (maintained in the State of Hawai‘i Payroll System)
- For APT employees, Salary Placement documents maintained in the University Human Resources Information System)
- Position Description (maintained in the University Human Resources Information System)
C. The following must be kept in separate, secured files or secured online data imaging systems separate from the Personnel File:
- Employment Eligibility Verification (Form I-9)
- General Confidentiality Notice
- Workers Compensation Claims and related documents
- Temporary Disability Benefit Claims and related documents
- Leave Sharing Requests and related medical certification documents
- Family Leave Requests and related medical certification documents
- Other medical information such as pre-employment medical information, ADA medical information, or TB Clearance
- Immigration/Visa documents
- Investigative reports and related documents (e.g., witnesses statements) involving alleged or proven employee misconduct and/or complaints against the employee and final disposition thereof
- Grievance materials
- Recruitment materials (maintained in the University recruitment information system)
- Promotion and Tenure application and dossiers
- Employee criminal history
D. Personnel files and records shall be physically maintained in locked filing cabinets in areas/rooms which are accessible only to authorized individuals, or in secured digital imaging systems accessible only to those credentialed appropriately according to their roles as Custodian or Official Designee. All employees should be instructed on the confidentiality of personnel files by their respective Vice President/Chancellor/Vice Chancellor/Dean/Director or Official Designee.
E. The following shall be implemented where applicable in usage and maintenance of personnel records:
- Applicable provisions in the various collective bargaining agreements relating to access to and maintenance of personnel files
- Chapter 92-F, H.R.S., relating to confidentiality, access and disclosure of personal records. Refer also to the Uniform Information Practices Act (UIPA) Reference Manual and to the Office of Information Practices (OIP) Guidelines on the Disclosure of Personnel Records
- The process of responding to a subpoena of personnel records
- Records retention rules and policies specified by EEO/AA guidelines and collective bargaining agreements
- The State’s Procedures for Transfer of Records to the State Records Center, and University Executive Policy EP 2.214, Informational Data Classification Categories and Information Security Guidelines
F. Transfer within UH System. When an employee moves to another administrative unit, the Custodian of Official Personnel Records of the former unit will send the employee’s personnel file to the new unit, upon receipt of an official document verifying an employee’s transfer. The file will be transferred as follows:
- Letter of transmittal and acknowledgment of receipt.
- File will be enclosed in sealed envelope labeled “CONFIDENTIAL” and addressed to the Custodian of Official Personnel Records in the receiving unit, and sent via U.S. Mail or personal delivery; if personnel records are digitally imaged, file will be transmitted via secure online transmission service to specifically credentialed recipient.
G. Resignation/Retirement/Termination. Three years after an employee resigns, retires, or is terminated from employment, the Custodian of Official Personnel Records of the administrative unit may transfer the personnel file to the State Records Center for storage in accordance with the State’s Procedures for Transfer of Records to the State Records Center.
H. Return to UH Employment. When a former employee returns to employment at the UH, the employee’s personnel records shall be recalled from the State Records Center pursuant to the State’s Procedures for Recall or Request for Records.
IV. Delegation of Authority
The Vice President/Associate Vice President/Chancellor/Provost/Vice Chancellor/Vice Provost/Dean/Director or Official Designee shall designate Custodians of the Official Personnel Records who shall be responsible for keeping these records accurate, complete, up-to-date, and maintained in accordance with applicable University policies and procedures and appropriate collective bargaining agreements.
V. Contact Information
Office of the Vice President for Administration.
VI. References
EP9.175, Personnel Records Management.
EP2.216, Intuitional Records Management
EP2.214, Informational Data Classification Categories and Information Security Guidelines
Chapter 92-F, H.R.S.
VII. Exhibits and Appendices
Transmittal of Official Personnel Records