Inspection of Individual Personnel Files - HR Policy 409

Inspection of Individual Personnel Files - HR Policy 409

This policy identifies who may access personnel files and under what circumstances these files may be obtained.
Effective Date:
Responsible Party:
None Assigned
Administrative Category:
Applies To:
Faculty, Staff
Material Original Source:

Policy 409 – Inspection of Individual Personnel Files

Date Issued: 10/80
Date Revised: 06/09

Inspection of an individual's personnel file is limited to the individual (active employees only) and to staff in Human Resources who have a right to view, or know, the information. In certain situations, it may be necessary to provide access to the file to someone from outside Human Resources.

409.A - Current Employees
A current employee may view his/her personnel file upon request. A twenty-four hour notice is required and a photo ID must be presented upon viewing. The review will be held in the HR Records Administration Office. The employee may make notes and for a nominal fee copies of documents can be provided. Authorization to add a document to file must be secured from the management of Records Administration.

409.B - Former Employees
Since the individual personnel files are the property of UAB and former employees no longer have a relationship with the University, permission to review the personnel file is not accorded. However, a former employee may request a copy of the file. A security deposit is required before the process can begin and there will be an additional charge per page. All former employees seeking permission to review their files should be referred to HR Records Administration.

409 C. - Retirees
Individuals that have retired from the University are granted access to his/her personnel files following retirement. An appointment must be scheduled twenty-four hours in advance with the HR Records Administration Office and a photo ID must be presented prior to review. The Retiree may make notes and for a nominal fee copies of documents can be provided.

409.D - Others Who May Access Personnel Records
Occasionally, other UAB staff members have a legitimate need to review an individual's personnel file. Human Resources staff who are granted access to the files include the HR Employee Relations staff for their work with the Problem Resolution Procedure or other complaints ; the HR Benefits staff for their activities in connection with an employee's benefits program; the HR Employment staff in their work with transfer or rehire applicants; the HR Compensation staff for determining an employee's proper classification and salary level; the HR Records Administration staff in connection with activities concerning an employee's status, service date, accruals, etc.; and any senior staff member.

Permission to review personnel files may be granted on a need-to-know basis to certain individuals who are not Human Resources staff. The decision to grant permission to requestors outside of Human Resource will be made by the management of HR Records Administration.

Supervisors who are considering transfer applicants occasionally request permission to review an individual's file. Those supervisors are referred to the employment representative handling the transfer for access to the information needed. Supervisors who wish to review the file of one of their employees are referred to the HR Records Administration Manager for permission.