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Personnel File Policy

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It is the policy of Roosevelt University to establish controls for internal access and external release of confidential and employment related information contained in an employee’s permanent personnel file. The University protects personal and professional privacy and confidentiality. It is Roosevelt University’s responsibility to ensure individual privacy of all employee records by limiting access to and release of information to only those individuals with a business and/or legal need to know and by limiting inclusion of materials to only those required for business and/or legal reasons.

The information maintained in an employee’s personnel file should be limited to that related to job qualification, job performance, employment status, compensation and benefit enrollment, emergency data, and other information that may be required by licensing and accrediting bodies and/or governmental agencies. The Office of Human Resources will maintain all employee files. It is imperative that all documentation related to the employee be sent to human resources for retention.

The following documents belong in the controlled access file and must be maintained separate from the personnel file: medical records, background check records, garnishment and employee financial/credit records, confidential investigatory records, intellectual property records, promotion and tenure records, student evaluations of faculty and attorney-client communications.

Employees have the right to review their personnel file upon request. Such requests will be honored within at least seven working days of the request. Human Resources will schedule an appointment with the employee at a time that is mutually agreeable. Reviews shall be conducted in the presence of human resource staff.

Access to employees’ files will be limited to the individual employee, human resource staff, the immediate supervisor, department chair or director and appropriate dean or vice president. Internal hiring authorities may review an employee’s file when an employee has officially applied for a different employment position.

Third party requests for information regarding an employee’s employment shall be directed to human resources. Human Resources will release position, dates of employment and full-time equivalent. Additional information will only be released upon receipt of written authorization from the employee. An employee can provide written authorization by completing an Employee Authorization to Release Employment Information Form or comparable document.

Requests for information received from the state unemployment office in conjunction with a claim for unemployment compensation will be responded to in full, as required by law, without a written authorization form from the employee as the inquiry is initiated by the employee who has filed a claim for unemployment benefits.

In the event that Roosevelt receives a lawfully issued administrative summons or judicial order, human resources will provide information as appropriate in consultation with counsel.

Access to personnel records or disclosure of personnel information may be provided when necessary to protect the interests of the organization when Roosevelt believes the actions of an employee violate the conditions of employment or otherwise threaten injury to the institution or to others, to a properly identified law enforcement authority when the institution reasonably believes that the employee may have engaged in illegal activities pursuant to a federal, state or local government statute or regulation that specifically requires disclosure of certain information to certain parties.

Questions concerning the policy may be directed to Office of Human Resources, Auditorium building 344 at (312) 341-4334.

Rev 9/2016