Personnel Records Administration Procedure | KCTCS

Administrative Procedures

Personnel Records Administration Procedure

Procedure Number: 2.4-P

Current Effective Date: 11/03/2023

Original Effective Date: 11/03/2023

Revision Dates: 0

Revision Number: 0

Revision Summary: Implementation of new procedure

Responsible Official: Vice President, Human Resources

References: Administrative Policy 2.4, Administrative Policy 2.4.2, State University Records Retention Schedule, KRS 61.878

1. Purpose

This procedure documents the management of KCTCS personnel records.

2. Scope

This procedure applies to all employees.

3. Types of Documents

The types of documents retained in personnel files may include, but are not limited to: 

  1. Application for employment,

  2. Résumés or curriculum vitae,

  3. Diplomas, certificates, training records, official credentials including a current official transcript, and related documentation regarding personal accomplishments,

  4. Payroll activation and authorization records,

  5. Acknowledgment forms,

  6. Performance evaluations and related documentation,

  7. Faculty promotion and tenure documentation,

  8. Disciplinary records and related documentation,

  9. Employment documentation and official correspondence,

  10. Salary and benefit information,

  11. Exit interview documentation, and

  12. Any additional information that KCTCS deems necessary.

4. Electronic Filing Process

To add documents to an employee’s electronic personnel file, Human Resources staff, either at a college or the System Office:

  1. Receives documents for scanning into the employee’s electronic personnel file or electronic copies of documents.

  2. Verifies the authenticity of documents, including official transcripts gathered as part of an employee’s credentials in accordance with Administrative Policy 2.4.2.

  3. Scans or uploads documents into personnel file with the appropriate designation as to type of document.

  4. A second employee may be designated to verify the quality and content of the image and that documents are correctly filed.

  5. Paper documents can be destroyed once they have been verified and scanned.

  6. Records management and retention is governed by applicable state laws, including the State University Records Retention Schedule established by the Kentucky Department of Libraries and Archives.

5. Access to Records

  1. KRS 61.878 permits any employee to inspect and copy almost any record relating to that employee. Current employees may make a request for their own personnel file to Human Resources, and must allow sufficient time for Human Resources to prepare documentation.

  2. External entities seeking employment verification will be provided the following information:
    1. Dates of employment
    2. Position/Title
    3. Salary information if requested

  3. The KCTCS President will designate an Official Records Custodian for KCTCS. Disclosure of employee personnel records to external entities is made in the following circumstances:
    1. To protect KCTCS’ legal interests.

    2. In response to a law enforcement authority, when appropriate.

    3. In accordance with federal, state, or local government law or regulation that requires disclosure to other parties, including Kentucky Open Records law, or the Family Educational Rights and Privacy Act (FERPA) for student employees.

    4.  In response to a lawfully issued administrative summons or judicial order including a search warrant or subpoena. A subpoena or other legal requirement to produce the personnel file shall be reviewed by the KCTCS Office of General Counsel prior to release of the information.

    5. In compelling circumstances involving the immediate health or safety of the employee.

6. Faculty Promotion and Tenure Records

The faculty promotion process records and the final documents are maintained in portfolios for each individual faculty member in the electronic content management system (ECMS).

  1. The promotion process records, from the invitation to the faculty member through to final decision, including any appeals, are maintained in the ECMS.
    1. Employee transcripts maintained in the personnel file and evaluations (PPEs) are imported into the promotion portfolio automatically.

    2. All other documents in the promotion portfolio are manually imported by the faculty member, mentors, Office of the President, and review committees.

  2. Once the promotion is ratified by the Board of Regents, the portfolio becomes final and maintained permanently in the ECMS. Human Resources, Office of General Counsel, Office of the President, and the faculty member have access to the final portfolio