EFFECTIVE DATE: April 10, 2020
ISSUE #: 5
PRESIDENT: Juan Sánchez Muñoz
PURPOSE
The purpose of this policy statement is to facilitate compliance with federal and state
regulations as well as University of Houston System Administrative Memoranda 02.A.31, to
ensure the integrity of personnel files and the accessibility of personnel file information and
to preserve the confidentiality of records when such disclosure would constitute an
unwarranted invasion of privacy. This policy applies to the personnel records of all current
and former University of Houston-Downtown (UHD) employees, regardless of status,
classification, full-time equivalency (FTE) or duration of employment.
DEFINITIONS
2.1 Employee: Any individual hired through UHD Employment Services and Operations
(ESO), and paid through the payroll system.
2.2 DocuWare Electronic Records System:The data warehousing software system used by
UHD for creating and maintaining electronic employee personnel files.
2.3 Personnel File: The official file of a University of Houston-Downtown employee
which contains all documents or copies of documents relevant to the employment
relationship that are collected, assembled, or maintained by the University of HoustonDowntown Division of Employment Services and Operations.
2.4 Public Information: For the purpose of this document, data and records available to the
public, including but not limited to, the name, sex, ethnicity, salary, title, and dates of
employment for each employee, as set forth in the Texas Public Information Act and
related rulings from the Texas Attorney General.
2.5 Student Employee: An employee in a position that requires student status as a
condition of employment. Student employees include graduate assistants and hourly
student workers.
POLICY
3.1 The University of Houston-Downtown establishes and maintains electronic personnel
files for each of its current and former employees, with access limited to certain
administrative and support staff in ESO. Benefits records, including group insurance
programs, retirement plans, supplemental retirement programs, deferred compensation
programs, medical records, affirmative action records related to an investigation and/or
possible pending litigation, and payroll records are maintained in ESO either electronically or in hard copy, but separately from the employee’s personnel file. Those
records that are maintained electronically in the DocuWare electronic records system
are indexed separately from the electronic personnel file.
3.2 The University of Houston-Downtown complies with the Texas Public Information Act pertaining to access and maintenance of personnel-related information. Requests for
information covered by the Public Information Act are subject to the provision of SAM03.H.02, Open Records.
3.3 Maintenance of electronic personnel records is also subject to SAM 03.H.01, Records Retention, and SAM 02.A.31, Access to and Maintenance of Personnel Files.
3.4 All information and records pertaining to all employees will be maintained in
confidence and with respect for the individual’s privacy to the extent practicable. The
University of Houston-Downtown will permit access to personnel-related information
as required by the Texas Public Information Act. The Office of General Counsel of the
University of Houston System will make decisions regarding access under this act.
3.5 It is the responsibility of the employee and/or the employee’s immediate supervisor to
notify ESO of any additions to and corrections of information in the employee’s
personnel file.
3.6 Nothing in this policy shall be used as the basis for discrimination or retaliation against
any individual or group on the basis of race, gender, age, color, religion, national
origin, disability, sexual orientation, or veteran status. Additionally, UHD prohibits
discrimination in all aspects of employment on the basis of sexual orientation, gender
identity or gender expression.
PROCEDURES
4.1 All necessary personal information will be directly obtained from the employee and
maintained in the employee’s personnel file.
4.2 Retention of personnel files will comply with the official University of Houston System
Records Retention Schedule, which is prepared in accordance with state and federal
regulations.
4.3 Each employee or a designated representative of the employee (prior written
designation and approval is required) is entitled to review the entire contents of his or
her own personnel file and to obtain a copy of any document(s) in the file, Access to
the DocuWare electronic records system is restricted and employees may view their file
by appointment only. If an employee disagrees with any information in his or her file,
he or she must immediately notify either his or her supervisor or the Vice President for
Employment Services and Operations (VPESO). He or she may ask the VPESO to
correct or delete any item in the file or write a statement of disagreement. The final
decision about revising, deleting, or adding rests with the Vice President for Employment Services and Operations or designee. If the employee disagrees with the
decision rendered by the VPESO, he/she may appeal this decision to the President. The
President’s decision is final and binding.
4.4 Employees and supervisors, in the course of performing their job functions, may access
personnel records of other employees only on a need-to-know basis, except pursuant to
a proper subpoena or Texas Public Information Act request.
4.5 The public is generally entitled to obtain information in official personnel files that is
not deemed confidential by law. All requests for personnel information concerning
applicants for employment, current employees, and/or former employees from sources
outside of the University shall be directed to the ESO Records Department. Personnel
file information that is generally protected from disclosure to the public without the
employee’s written consent includes medical records and any other information of a
highly personal or sensitive nature. Public law allows state employees to choose
whether they wish to keep confidential their home addresses, telephone numbers,
family member information, and emergency contact information, as well as certain
other personal information, and requires state agencies to maintain the employee’s
written election to restrict such access. Employee social security numbers will be
protected from public access. The “The Public Access Authorization” section of the
new hire, onboarding paperwork allows each employee the opportunity to designate
what personal information they wish to keep confidential. Certain representatives of
state and federal agencies may access personnel files pursuant to authority granted to
them by state and federal statutes or regulations.
4.5.1 UHD Police Department officers are automatically protected by the provisions
of the Texas Public Information Act from having information released from
their personnel files that is not generally protected from disclosure.
4.5.2 All requests for information from the personnel files of University student
employees require prior written authorization for release from the student or
former student in accordance with the Family Educational Rights and Privacy
Act (FERPA).
4.5.3 The protected information will not be published in directories, nor included on
lists of employees secured from personnel files requested by organizations or
individuals under the Public Information Act. The information will not be given
to anyone else who requests it, except for requests under court order, as long as
the authorization to deny public access has not been rescinded. However, the
University of Houston System or UHD may use such information for any
official business purposes.
4.5.4 An employee may rescind an authorization to release or protect personal
information at any time by updating their profile in the My Personal
Info/Release Personal Info tile in People Advantage Self Service (P.A.S.S.).
4.6 The following guidelines are followed in maintaining personnel files:
4.6.1. Each employee’s personnel file should contain electronic copies of documents
relevant to the employment relationship that are collected, assembled, or
maintained by ESO. This information may include, but is not necessarily limited
to, biographical data sheets; transcripts of college work when appropriate;
letters of recommendation; completed and signed official application forms;
letters of appointment if applicable; employment contracts or agreements if
applicable; personnel action request (ePAR) forms; documentation of receipt of
information required by law or University of Houston System policy; annual
appointment letters if applicable; all (in-house and external) training records;
performance evaluations; awards and honors; documentation of disciplinary
action; memoranda and correspondence to and from the employee; memoranda
and correspondence to and from administrators concerning the employment
relationship of the employee with the University; and promotion, transfer,
and/or demotion materials.
4.6.2 Files of terminated employees may contain only those forms which provide the
basic information for retention required by State of Texas Regulations which
include dates of employment, title, salary and last known address.
4.7 Before documents that include information on more than one employee are scanned
into an employee’s personnel file, all references to other employees shall be deleted
when such references may constitute a clearly unwarranted invasion of personal
privacy. ESO has the responsibility to ensure that existing information in a specific
personnel file conforms to these editing criteria when a request for access is received.
4.8 Except as otherwise allowed or required by law or court order, the contents of
personnel files are considered confidential, with access only on a need-to-know basis.
Violation of confidentiality by any employee involved in maintenance or handling of
the personnel records may be grounds for disciplinary action, up to and including
dismissal from employment. Employees involved in administration of personnel
policies will not, except as otherwise allowed or required by law or court order, discuss
personnel issues or problems with supervisors, other employees, or the public unless
the employee provides written authorization to release such information.
4.9 The following documentation will be stored separately from the official personnel file:
4.9.1 All benefits enrollment forms and related documentation, including but not
limited to, group insurance policies and retirement and supplemental retirement
programs, deferred compensation programs, etc.
4.9.2 Medical Documentation: Employee’s medical records
4.9.3 All materials collected as a result of an investigation into complaints of Title IX
policy violations
4.9.4 All materials collected as a result of a grievance filed by an employee or an
investigation resulting from a claim or complaint filed against an employee
REVIEW PROCESS
Responsible Party (Reviewer): Vice President for Employment Services and Operations
Review: Every three years on or before September 1
st.
Signed original on file in Employment Services and Operations
POLICY HISTORY
Issue #1: 06/01/03
Issue #2: 07/11/08
Issue #3: 03/18/14
Issue #4: 09/06/19
REFERENCES
UH System Administrative Memorandum 02.A.31
UH System Administrative Memorandum 03.H.01
UH System Administrative Memorandum 03.H.02
University of Houston System Records Retention
Texas Public Information Act
Family Educational Rights and Privacy Act (FERPA)
